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HomeMy WebLinkAbout10-3-2018 Council agenda packetSaratoga City Council Agenda – Page 1 of 4 SARATOGA CITY COUNCIL REGULAR MEETING OCTOBER 3, 2018 5:45 P.M. LIBRARY COMMISSION INTERVIEWS Linda Callon Conference Room, City Hall | 13777 Fruitvale Avenue, Saratoga, CA 95070 INTERVIEWS: Time Name Commission Vacancies Incumbent 5:50 p.m. Sandeep (Sandy) Muju Parks & Recreation 1 Term (10/1/18 - 9/30/2022) No 6:00 P.M. JOINT MEETING Linda Callon Conference Room, City Hall | 13777 Fruitvale Avenue, Saratoga, CA 95070 Joint Meeting with Historical Foundation Board 7:00 P.M. REGULAR SESSION Civic Theater, Council Chambers | 13777 Fruitvale Avenue, Saratoga, CA 95070 PLEDGE OF ALLEGIANCE ROLL CALL REPORT ON POSTING OF THE AGENDA The agenda for this meeting was properly posted on September 28, 2018 REPORT FROM JOINT MEETING ORAL COMMUNICATIONS ON NON-AGENDIZED ITEMS Any member of the public may address the City Council for up to three (3) minutes on matters not on the Agenda. The law generally prohibits the City Council from discussing or taking action on such items. However, the Council may instruct staff accordingly. ANNOUNCEMENTS 1. CONSENT CALENDAR The Consent Calendar contains routine items of business. Items in this section will be acted on in one motion, unless removed by the Mayor or a Council Member. Any member of the public may speak on an item on the Consent Calendar at this time, or request that the Saratoga City Council Agenda – Page 2 of 4 Mayor remove an item from the Consent Calendar for discussion. Public Speakers are limited to three (3) minutes. 1.1. City Council Meeting Minutes Recommended Action: Approve the City Council minutes for the Regular City Council Meeting on September 19, 2018. 1.2. Review of Accounts Payable Check Registers Recommended Action: Review and accept check registers for the following accounts payable payment cycles: 09/24/2018 Period 3; and 09/26/2018 Period 3. 1.3. Resolution Amending the City of Saratoga Conflict of Interest Code Recommended Action: Approve the resolution amending the City of Saratoga Conflict of Interest Code. 1.4. Ordinance Amending Heritage Preservation Commission Membership Requirements Recommended Action: Waive the second reading and adopt the attached ordinance amending Chapter 13 (Heritage Preservation) of the Saratoga Municipal Code related to Heritage Preservation Commission membership requirements. 2. PUBLIC HEARING Items placed under this section of the Agenda are those defined by law as requiring a special notice and/or a public hearing or those called by the City Council on its own volition. 2.1. Ordinance Amending Tobacco Retailer License Penalties & Banning Flavored Tobacco Recommended Action: Conduct a public hearing on the attached ordinance that would amend penalties for violation of the City of Saratoga’s Tobacco Retailer License Ordinance and prohibit sale of tobacco at pharmacies and sale of flavored tobacco, not including menthol tobacco, in the City of Saratoga through amendments to Article 4.90 of the City Code; introduce and waive the first reading of the ordinance; and, direct staff to place the ordinance on the Consent Calendar for adoption at the next regularly scheduled City Council Meeting. 3. GENERAL BUSINESS 3.1. City Land and Facility Naming Policy Recommended Action: Adopt the resolution amending the City of Saratoga’s Policy for Naming City-Owned Land and Facilities. Saratoga City Council Agenda – Page 3 of 4 COUNCIL ASSIGNMENTS Mayor Mary-Lynne Bernald Cities Association of Santa Clara County-Legislative Action Committee Cities Association of Santa Clara County-City Selection Committee Council Finance Committee Hakone Foundation Board Public Art Committee Saratoga Historical Foundation South Flow Arrivals Ad Hoc Committee West Valley Clean Water Program Authority West Valley Mayors and Managers West Valley Solid Waste Management Joint Powers Authority Vice Mayor Manny Cappello Cities Association of Santa Clara County Board of Directors Santa Clara County Housing and Community Development (HCD) Council Committee Saratoga Area Senior Coordinating Council (SASCC) West Valley Sanitation District Council Member Howard Miller America in Bloom Committee Council Finance Committee Saratoga Ministerial Association Saratoga Sister City Organization Silicon Valley Clean Energy Authority Board of Directors Valley Transportation Authority (VTA) Policy Advisory Committee VTA State Route 85 Corridor Policy Advisory Board Council Member Emily Lo Hakone Foundation Board & Executive Committee KSAR Community Access TV Board Public Art Committee Santa Clara County Library Joint Powers Authority Council Member Rishi Kumar Association of Bay Area Governments Saratoga Chamber of Commerce & Destination Saratoga Santa Clara County Expressway Plan 2040 Policy Advisory Board Santa Clara Valley Water District Commission CITY COUNCIL ITEMS COUNCIL COMMUNICATIONS CITY MANAGER'S REPORT ADJOURNMENT Saratoga City Council Agenda – Page 4 of 4 CERTIFICATE OF POSTING OF THE AGENDA, DISTRIBUTION OF THE AGENDA PACKET, COMPLIANCE WITH AMERICANS WITH DISABILITIES ACT I, Debbie Bretschneider, Interim City Clerk for the City of Saratoga, declare that the foregoing agenda for the meeting of the City Council was posted and available for review on September 28, 2018 at the City of Saratoga, 13777 Fruitvale Avenue, Saratoga, CA 95070 and on the City's website at www.saratoga.ca.us. Signed this 28th day of September 2018 at Saratoga, California. Debbie Bretschneider, Interim City Clerk In accordance with the Ralph M. Brown Act, copies of the staff reports and other materials provided to the City Council by City staff in connection with this agenda are available at the office of the City Clerk at 13777 Fruitvale Avenue, Saratoga, CA 95070. Note that copies of materials distributed to the City Council concurrently with the posting of the agenda are also available on the City Website at www.saratoga.ca.us. Any materials distributed by staff after the posting of the agenda are made available for public review at the office of the City Clerk at the time they are distributed to the City Council. These materials are also posted on the City website. In Compliance with the Americans with Disabilities Act, if you need assistance to participate in this meeting, please contact the City Clerk at 408.868.1269. Notification 24 hours prior to the meeting will enable the City to make reasonable arrangements to ensure accessibility to this meeting. [28 CFR 35.102-35.104 ADA title II] 10/03 6:00 p.m. Joint Meeting with Historical Foundation | 7:00 p.m. Regular Session 10/17 6:00 p.m. Joint Meeting with State Senator Jim Beall Jr | 7:00 p.m. Regular Session 11/07 11/21 6:00 p.m. Joint Meeting with West Valley – Mission Community College Board of Trustees | 7:00 p.m. Regular Session 6:00 p.m. Joint Meeting with Assembly Member Evan Low | 7:00 p.m. Regular Session 11/29 Joint Meeting with Saratoga School Districts in Community Center 12/05 6:00 p.m. Joint Meeting with Sheriff’s Office | 7:00 p.m. Regular Session 12/13 7:00 p.m. Council Reorganization 12/19 6:00 p.m. Study Session – Council Norms | 7:00 p.m. Regular Session CITY OF SARATOGA CITY COUNCIL MEETING CALENDAR 2018 City of Saratoga CITY COUNCIL JOINT MEETING Meeting Discussion Topics Joint Meeting with Historical Museum Foundation October 3, 2018 | 6:00 p.m. Saratoga City Hall | Linda Callon Conference Room 6:00 p.m.Welcome & Introductions 6:15 p.m.Historical Foundation Updates & Upcoming Activities 6:45 p.m.Other Remarks & Wrap Up Dinner will be provided at the Joint Meeting. The Regular Session of the City Council begins at 7:00 p.m. in the Civic Theater. Joint Meeting attendees are invited to attend the Regular Session and share an overview of the Joint Meeting. 5 SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:City Manager’s Office PREPARED BY:Debbie Bretschneider, Interim City Clerk SUBJECT:City Council Meeting Minutes RECOMMENDED ACTION: Approve the City Council minutes for the Regular City Council Meeting on September 19, 2018. BACKGROUND: Draft City Council minutes for each Council Meeting are taken to the City Council to be reviewed for accuracy and approval. Following City Council approval, minutes are retained for legislative history and posted on the City of Saratoga website. The draft minutes are attached to this report for Council review and approval. FOLLOW UP ACTION: Minutes will be retained for legislative history and posted on the City of Saratoga website. ATTACHMENTS: Attachment A –Minutes for the Regular City Council Meeting on September 19, 2018 6 Saratoga City Council Minutes – Page 1 of 8 MINUTES WEDNESDAY, SEPTEMBER 19, 2018 SARATOGA CITY COUNCIL REGULAR MEETING At 6:00 p.m., the City Council held a Joint Meeting with the Youth Commission in the Linda Callon Conference Room at 13777 Fruitvale Avenue in Saratoga. Mayor Bernald called the Regular Session to order in the Civic Theater, Council Chambers at 13777 Fruitvale Avenue in Saratoga at 7:03 p.m. in memory of Richard Angus and former Mayor Dr. Francis Stutzman then led the Pledge of Allegiance. ROLL CALL PRESENT:Mayor Mary-Lynne Bernald, Vice Mayor Manny Cappello Council Members, Howard Miller, Emily Lo, Rishi Kumar ABSENT:None ALSO PRESENT:James Lindsay, City Manager Richard Taylor, City Attorney Crystal Bothelio, Deputy City Manager Debbie Bretschneider, Interim City Clerk Debbie Pedro, Community Development Director Mary Furey, Finance & Administrative Services Director John Cherbone, Public Works Director Michael Taylor, Recreations & Facilities Director Sandy Bailey, Temporary Project Manager Kayla Nakamoto, Recreation Coordinator REPORT ON POSTING OF THE AGENDA Interim City Clerk Debbie Bretschneider reported that the agenda for this meeting was properly posted on September 14, 2018. REPORT FROM JOINT MEETING Youth Commission Chair Chris Smails and Treasurer Naisha Agarwal reported on the Joint Meeting, which included presentation of the Youth Commission 2018/2019 Work Plan. ORAL COMMUNICATIONS ON NON-AGENDIZED ITEMS Urmila Vadali & Sharan Bal spoke about the Mosiac event at Saratoga High School on October 5, 2018 from 7:30-9:30 p.m. Jeff Schwartz shared his memories with former Mayor Dr. Stutzman. ANNOUNCEMENTS Mayor Bernald announced that Living Room Conversations is on September 25, Commissions recruitments, the Traffic Safety Commission special meeting about the 4-way stop on Big Basin Way on September 25 at 6:30 p.m. at the Saratoga Prospect Center, and the display of “Saratoga Authors Hall of Fame” at the Saratoga Library during September. 7 Saratoga City Council Minutes – Page 2 of 8 CEREMONIAL ITEMS Commendation for Outgoing City Commissioners Recommended Action: Read and present commendations to Anandi Krishnamurthy and Pallavi Sharma recognizing their service to the City of Saratoga. Mayor Bernald and the City Council presented commendations to outgoing Parks & Recreation Commissioner Pallavi Sharma. Appointment of Library Commissioner & Oath of Office Recommended Action: Approve the attached resolution appointing 1 member to the Library Commission; and direct the City Clerk to administer the Oath of Office. RESOLUTION 18-048 CAPPELLO/MILLER MOVED TO ADOPT A RESOLUTION APPOINTING 1 MEMBER TO THE LIBRARY COMMISSION AND DIRECT THE CITY CLERK TO ADMINISTER THE OATH OF OFFICE. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. Proclamation Declaring September 2018 as National Preparedness Month Recommended Action: Present the proclamation declaring September 2018 as National Preparedness Month to representatives of the Saratoga Community Emergency Response Team (CERT). Mayor Bernald and the City Council presented the proclamation to representatives of Saratoga CERT. 1.CONSENT CALENDAR 1.1. City Council Meeting Minutes Recommended Action: Approve the City Council minutes for the Regular City Council Meeting on September 5, 2018. MILLER/CAPPELLO MOVED TO APPROVE THE CITY COUNCIL MINUTES FOR THE REGULAR CITY COUNCIL MEETING ON SEPTEMBER 5, 2018. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 1.2. Review of Accounts Payable Check Registers Recommended Action: Review and accept check registers for the following accounts payable payment cycles: 09/04/2018 Period 3; and 09/12/2018 Period 3. 8 Saratoga City Council Minutes – Page 3 of 8 MILLER/CAPPELLO MOVED TO ACCEPT THE ACCOUNTS PAYABLE CHECK REGISTERS FOR THE FOLLOWING ACCOUNTS PAYABLE PAYMENT CYCLES: 09/04/2018 PERIOD 3; 09/12/2018 PERIOD 3 MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 1.3. Treasurer’s Report for the Month Ended July 31, 2018 Recommended Action: Review and accept the Treasurer’s Report for the month ended July 31, 2018. MILLER/CAPPELLO MOVED TO ACCEPT THE TREASURER’S REPORT FOR THE MONTH ENDED JULY 31, 2018. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 1.4. Adoption of Local CEQA Guidelines and State CEQA Guidelines by Reference Recommended Action: Approve the update to Saratoga’s Local CEQA Guidelines by adopting the Resolution in Attachment A. RESOLUTION 18-049 MILLER/CAPPELLO MOVED TO APPROVE THE UPDATE TO SARATOGA’S LOCAL CEQA GUIDELINES AND STATE CEQA GUIDELINES BY REFERENCE. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 2.PUBLIC HEARING 2.1. Ordinance Amending Heritage Preservation Commission Membership Requirements Recommended Action: 1. Conduct a public hearing. 2. Introduce and waive the first reading of the ordinance amending Chapter 13 (Heritage Preservation) of the Saratoga Municipal Code related to the Heritage Preservation Commission. 3. Direct staff to place the ordinance on the Consent Calendar for adoption at the next regular meeting of the City Council. Sandy Bailey, Temporary Project Manager, presented the staff report. Mayor Bernald opened the public hearing. Mayor Bernald invited public comment on the item. No one requested to speak. 9 Saratoga City Council Minutes – Page 4 of 8 CAPPELLO/MILLER MOVED TO WAIVE THE FIRST READING OF THE ORDINANCE AMENDING CHAPTER 13 (HERITAGE PRESERVATION) OF THE SARATOGA MUNICIPAL CODE RELATED TO THE HERITAGE PRESERVATION COMMISSION, WITH AN ADDITIONAL CONDITION OF APPROVAL: (1) DELETE SUBSECTION (C) FROM THE ORDINANCE IN ITS ENTIRETY AND DIRECT STAFF TO PLACE THE ORDINANCE ON THE CONSENT CALENDAR FOR ADOPTION AT THE NEXT REGULAR MEETING OF THE CITY COUNCIL. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 3.GENERAL BUSINESS 3.1. Review of Dangerous Dog Regulations Recommended Action: Review the dangerous dog regulations in Article 7-20 (Animals) of the Saratoga Municipal Code and direct staff to amend the ordinance as necessary. Debbie Pedro, Community Development Director, presented the staff report. Mayor Bernald invited public comment on this item. The following people requested to speak: Donna Poppenhagen No one else requested to speak. MILLER/LO MOVED TO DIRECT STAFF TO BRING BACK TO COUNCIL AN ORDINANCE AMENDING ARTICLE 7-20 (ANIMALS) AS RECOMMENDED BY STAFF. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 3.2. Saratoga-to-the-Sea Trail Design Contract Recommended Action: 1. Approve Design Contract with Timothy C. Best, CEG for the Saratoga-to-the-Sea Trail project, in the amount of $285,810, and authorize the City Manager to execute the same. 2. Authorize staff to execute change orders to the contract up to $28,500. John Cherbone, Public Works Director, presented the staff report. Mayor Bernald invited public comment on this item. The following people requested to speak: Preva Kumar No one else requested to speak. 10 Saratoga City Council Minutes – Page 5 of 8 LO/MILLER MOVED TO APPROVE DESIGN CONTRACT WITH TIMOTHY C. BEST, CEG FOR THE SARATOGA-TO-THE-SEA TRAIL PROJECT, IN THE AMOUNT OF $285,810, AND AUTHORIZE THE CITY MANAGER TO EXECUTE THE SAME AND TO AUTHORIZE STAFF TO EXECUTE CHANGE ORDERS TO THE CONTRACT UP TO $28,500. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 3.3. Preview of Annual Code Update for 2018 Recommended Action: Review the proposed cleanup amendments to the City Code and direct staff to prepare an ordinance implementing the amendments for consideration by the City Council. Richard Taylor, City Attorney, presented the staff report. Debbie Pedro, Community Development Director, answered questions from Council. Mayor Bernald invited public comment on this item. No one requested to speak. MILLER/CAPPELLO MOVED TO DIRECT STAFF TO PREPARE THE ANNUAL CODE AMENDMENTS ORDINANCE AS STATED IN THE STAFF REPORT AND TO CLARIFY THE DEFINITION OF SUBTERRANEAN STRUCTURES BY ADDING APPROPRIATE REFERENCES TO THE REGULATIONS APPLICABLE TO BASEMENTS AND ADD A REQUIREMENT THAT SUBTERRANEAN STRUCTURES NOT BE VISIBLE FROM THE PUBLIC RIGHT OF WAY . MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. Mayor Bernard invited the High School audience members to come on stage. 3.4. Neighborhood Watch Program and Grant Recommended Action: Receive report and provide direction to staff regarding the Neighborhood Watch Program and Grant, if desired. Crystal Bothelio, Deputy City Manager, presented the staff report. Mayor Bernald invited public comment on this item. The following people requested to speak: Lakhinder Walia Chuck Page Anjali Kausar No one else requested to speak. 11 Saratoga City Council Minutes – Page 6 of 8 CAPPELLO/MILLER MOVED TO DIRECT STAFF TO: (1) CREATE A PRIVACY POLICY FOR HOW NEIGHBORHOOD WATCH GROUPS HANDLE CONTACT INFORMATION AND OTHER SENSITIVE DATA THAT THEY HAVE COLLECTED; (2) REQUIRE CITY AUTHORIZATION FOR USE OF SHERIFF’S OFFICE RESOURCES AT NEIGHBORHOOD WATCH EVENTS AND ACTIVITIES; (3) REQUIRE NEIGHBORHOOD WATCH LEADS TO PROVIDE AT LEAST ONE METHOD THAT CAN BE USED BY THE PUBLIC TO CONTACT LEADS AND IS ACCESSIBLE THROUGH THE CITY WEBSITE AND MADE AVAILABLE ON NEIGHBORHOOD WATCH POSTCARDS PREVIOUSLY DIRECTED TO BE SENT TO RESIDENTS IN REGISTERED GROUPS; (4) WORK WITH NEIGHBORHOOD WATCH GROUPS TO ELIMINATE OVERLAPPING NEIGHBORHOOD WATCH BOUNDARIES; (5) SCHEDULE FINANCE COMMITTEE CONSIDERATION OF THE NEIGHBORHOOD WATCH GRANT PROGRAM FOR FISCAL YEAR 2019/20 AND INCLUDE AS AN AGENDA ITEM AT THE 2019 COUNCIL RETREAT; (6) INCREASE NEIGHBORHOOD WATCH RESOURCES AND INFORMATION AVAILABLE ON THE CITY WEBSITE; AND, (7)CREATE STANDARDS FOR OUTREACH MATERIALS USED BY NEIGHBORHOOD WATCH GROUPS TO CLEARLY INDICATE WHETHER THE OUTREACH MATERIALS ARE ASSOCIATED WITH NEIGHBORHOOD WATCH. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 3.5. Resolution in Opposition to Proposition 6 Recommended Action: Consider adoption of resolution in opposition to Proposition 6. Crystal Bothelio, Deputy City Manager, presented the staff report. Mayor Bernald invited public comment on this item. No one requested to speak. RESOLUTION 18-050 MILLER/LO MOVED TO ADOPT THE RESOLUTION IN OPPOSITION TO PROPOSITION 6. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. COUNCIL ASSIGNMENTS Mayor Mary-Lynne Bernald Saratoga Historical Foundation – meets on September 6, 2018. West Valley Clean Water Program Authority – meeting next month to select an Executive Director. West Valley Mayors and Managers – meeting is next week and the Chair will be accepting applications of elected officials for the position on Valley Transportation Association (VTA). Vice Mayor Manny Cappello Cities Association of Santa Clara County Board of Directors – Senator Wieckowski attended and gave report on legislation, which included information on accessory dwelling units and 12 Saratoga City Council Minutes – Page 7 of 8 affordable housing. Information on Census 2020, city transitions to district elections, and the nominating committee for Executive Board positions were started. West Valley Sanitation District – no report, as discussion was in closed session. Council Member Howard Miller Silicon Valley Clean Energy Authority Board of Directors – the Board passed a mid-year budget adjustment, held a review of the CEO, discussed challenges to Community Choice Aggregation from the State, and made adjustments to employee benefits. Valley Transportation Authority (VTA) Policy Advisory Committee – Caltrain is suspending service on weekends from October 6, 2018 to March 2019 and will be working on tunnels. The Committee also received a report on changes to Express Lanes with information on the new ordinance to be adopted that will change Carpool hours to Expressway hours, which will be carpool only all day. This will eventually affect Route 85, but they are starting with Highway 237. Council Member Emily Lo Hakone Foundation Board & Executive Committee – last weekend Hakone held a successful Gala with about 140 people attending. Santa Clara County Library Joint Powers Authority – new outreach vehicle, GoGoBiblio, which is smaller than regular book mobile, is completely electric, and will attending events. Council Member Rishi Kumar Saratoga Chamber of Commerce & Destination Saratoga – was not able to the meeting last week, but Community Development Director Debbie Pedro was able to attend. CITY COUNCIL ITEMS None COUNCIL COMMUNICATIONS Council Member Lo announced that her position as President of League of CA Cities Peninsula Division has ended and she will serve as Immediate Past President. Larry Moody, East Palo Alto Mayor, is the new President. Mayor Bernald announced that the Executive Director of the Cities Association has been attempting to bring most of the cities into the South Bay Roundtable. Campbell and Los Gatos are not joining. CITY MANAGER'S REPORT None ADJOURNMENT MILLER/CAPPELLO MOVED TO ADJOURN THE MEETING AT 10:43 P.M. MOTION PASSED. AYES: BERNALD, CAPPELLO, MILLER, LO, KUMAR. NOES: NONE. ABSTAIN: NONE. ABSENT: NONE. 13 Saratoga City Council Minutes – Page 8 of 8 Minutes respectfully submitted: Debbie Bretschneider Interim City Clerk City of Saratoga 14 Gina Scott, Accounting Technician SUBJECT: Review of Accounts Payable Check Registers RECOMMENDED ACTION: Review and accept check registers for the following accounts payable payment cycles: BACKGROUND: The information listed below provides detail for weekly City check runs. Checks issued for $20,000 or greater are listed separately as well as any checks that were voided during the time period. Fund information, by check run, is also provided in this report. REPORT SUMMARY: Attached are Check Registers for: Date Ending Check # 09/24/18 136983 136989 7 10,083.02 09/24/18 09/12/18 136982 09/26/18 136990 137061 72 1,989,463.36 09/27/18 09/24/18 136989 Accounts Payable checks issued for $20,000 or greater: Date Check # Issued to Dept.Amount 09/26/18 137008 PW 36,751.00 09/26/18 137027 Various 1,420,186.26 09/26/18 137034 PW 132,533.74 09/26/18 137042 Various 20,092.71 09/26/18 137059 PW 248,044.76 Accounts Payable checks voided during this time period: AP Date Check #Amount ATTACHMENTS: Check Registers in the 'A/P Checks By Period and Year' report format SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:Finance & Administrative Services Starting Check #Type of Checks Date Accounts Payable Accounts Payable Fund Purpose Caterpillar Backhoe Dino Turchet Construction Law Enforcement Park Dr Storm Drain Veh/Equipment Rplcmnt SCC Office of the Sheriff CIP Streets Project Fund General 09/24/2018 Period 3; and 09/26/2018 Period 3. PREPARED BY: Ending Check # Shute Mihaly & Weinberger Peterson Tractor CIP Grant Street Repair Prior Check Register Checks ReleasedTotal Checks Amount Prospect Rd Improv General Attorney Services Wattis Construction Co. Status N/A Reason Issued to 15 16 17 18 19 20 21 22 23 SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:City Manager’s Office PREPARED BY:Debbie Bretschneider, Interim City Clerk SUBJECT:Resolution Amending the City of Saratoga Conflict of Interest Code RECOMMENDED ACTION: Approve the resolution amending the City of Saratoga Conflict of Interest Code. BACKGROUND: The California Political Reform Act requires City Council Members, Planning Commissioners, City Managers, and City Attorneys to disclose financial interests through the Form 700 –Statement of Economic Interests. The purpose of financial disclosure is to call attention to personal economic interests that might result in a conflict of interest. The Form 700 must be filed when assuming office, leaving office, and once per year. The Act also requires local agencies to adopt, and biennially review, a Conflict of Interest Code that identifies additional positions in the organization that make or participate in making decisions that could have a material effect on any financial interest.This includes making substantive recommendations that are regularly approved without significant amendment or modification, as well as advising or making recommendations to a decision-maker directly or without significant intervening substantive review. Individuals in these designated positions must disclose financial interests through the Form 700. The Conflict of Interest Code must be reviewed every two years. The last update was made in 2016 via Resolution 16-057. The attached resolution includes provisions required by State law and updates to the list of designated positions required to file a Form 700. Proposed changes in the attached resolution are primarily ministerial and include position title updates, additions of positions created since 2016, and removal of positions that are no longer active. While not required, all of the mandatory Political Reform Act filers were also noted in the list of designated positions for the sake of clarity. ATTACHMENTS: Attachment A –Resolution Amending the Saratoga Conflict of Interest Code Attachment B –Resolution 16-057 24 RESOLUTION NO. 18-___ A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA AMENDING THE CITY OF SARATOGA CONFLICT OF INTEREST CODE WHEREAS, the Political Reform Act, Government Code Sections 81000, et seq., requires every state or local government agency to adopt and promulgate a Conflict of Interest Code (Code) and requires the City Council to act as the code-reviewing body of its Conflict of Interest Code; and WHEREAS, the City of Saratoga’s Code was adopted by Resolution No. 01-011 on February 21, 2001 and adopted, by reference, the Fair Political Practices (FPPC) Model Conflict of Interest Code set forth in Title 2, Section 18730 of the California Code of Regulations; and WHEREAS, the Political Reform Act requires biennial review of the Code and the Code has been reviewed and updated as required, including an updated list of designated positions required to disclose personal economic interests (Exhibit A); and WHEREAS, the City has completed its review of the Code as required for 2018 and the Conflict of Interest Code as amended herein shall supersede all previous Codes, policies, and understandings related to the City of Saratoga Conflict of Interest Code. NOW, THEREFORE, the City Council of the City of Saratoga hereby amends the City of Saratoga Conflict of Interest Code to provide: The terms of 2 California Code of Regulations Section 18730 (Exhibit B) and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated and made a part of this Code by reference. This regulation and the attached Exhibit A, designating positions and establishing disclosure categories, shall constitute the conflict of interest code of the City o f Saratoga (City). Individuals holding designated positions shall file their statements of economic interests with the City, which will make the statements available for public inspection and reproduction (Gov. Code Sec. 81008). Upon receipt of the statements (Form 700) of the City of Saratoga City Council, City Manager, City Attorney, City Treasurer, and Planning Commissioners, the agency shall make and retain a copy and forward the original of these statements to the Fair Political Practices Commission. 25 The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of October 2018 by the following vote: AYES: NOES: ABSENT: ABSTAIN: Mary-Lynne Bernald, Mayor Attest: Debbie Bretschneider, Interim City Clerk Date 1040451.1 26 EXHIBIT A – CONFLICT OF INTEREST CODE LIST OF DESIGNATED POSITIONS Adopted via Resolution 18-___ DESIGNATED POSITIONS DISCLOSURE CATEGORY City Council A through E City Manager's Office City Manager Deputy City Manager City Clerk City Attorney’s Office City Attorney Assistant City Attorney A through E A through E Public Works Department Public Works Director Senior Engineer Public Works Manager – Parks Public Works Manager – Streets and Fleet A through E Community Development Department Community Development Director Building Official City Arborist Senior Planner A through E Recreation & Facilities Department Recreation & Facilities Director Facilities Manager A through E Finance & Administrative Services Department Finance & Administrative Services Director Finance Manager Human Resources Manager Information Technology Administrator A through E Commissions Heritage Preservation Library Parks and Recreation Planning Traffic Safety A through E 27 Consultants City Geotechnical Consultant A through E (only those investments, business positions, and sources of income of the type which engage in land development, construction or the acquisition or sale of real property; interests in real property in the jurisdiction, including within a two-mile radius of any property owned or used by the City of Saratoga) City Surveyor A through E (only those investments, business positions, and sources of income of the type which engage in land development, construction or the acquisition or sale of real property; interests in real property in the jurisdiction, including within a two-mile radius of any property owned or used by the City of Saratoga) Recreation Manager A through E (only those investments, business positions, and sources of income of the type which offer recreation services or products or services used in connection with providing recreation services; interests in real property in the jurisdiction, including within a two-mile radius of any property owned or used by the City of Saratoga for recreation services) Other Consultants* *Consultants shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation: The City Manager may determine in writing that a particular consultant, although a "designated position," is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant’s duties and, based upon that description, a statement of the extent of disclosure requirements. The City Manager’s determination is a public record and shall by retained for public inspection in the same manner and location as this Conflict of Interest Code. 28 KEY TO DISCLOSURE CATEGORIES Category A-1: Investments less than 10% ownership Category A-2: Investments greater than 10% ownership Category B: Real Property Category C: Income, Loans and Business Positions Category D: Income – Gifts Category E: Income – Gifts, Travel Payments, Advances and Reimbursements 1040452.1 29 1 (Regulations of the Fair Political Practices Commission, Title 2, Division 6, California Code of Regulations.) § 18730. Provisions of Conflict of Interest Codes. (a) Incorporation by reference of the terms of this regulation along with the designation of employees and the formulation of disclosure categories in the Appendix referred to below constitute the adoption and promulgation of a conflict of interest code within the meaning of Section 87300 or the amendment of a conflict of interest code within the meaning of Section 87306 if the terms of this regulation are substituted for terms of a conflict of interest code already in effect. A code so amended or adopted and promulgated requires the reporting of reportable items in a manner substantially equivalent to the requirements of article 2 of chapter 7 of the Political Reform Act, Sections 81000, et seq. The requirements of a conflict of interest code are in addition to other requirements of the Political Reform Act, such as the general prohibition against conflicts of interest contained in Section 87100, and to other state or local laws pertaining to conflicts of interest. (b) The terms of a conflict of interest code amended or adopted and promulgated pursuant to this regulation are as follows: (1) Section 1. Definitions. The definitions contained in the Political Reform Act of 1974, regulations of the Fair Political Practices Commission (Regulations 18110, et seq.), and any amendments to the Act or regulations, are incorporated by reference into this conflict of interest code. (2) Section 2. Designated Employees. 30 2 The persons holding positions listed in the Appendix are designated employees. It has been determined that these persons make or participate in the making of decisions which may foreseeably have a material effect on economic interests. (3) Section 3. Disclosure Categories. This code does not establish any disclosure obligation for those designated employees who are also specified in Section 87200 if they are designated in this code in that same capacity or if the geographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction in which those persons must report their economic interests pursuant to article 2 of chapter 7 of the Political Reform Act, Sections 87200, et seq. In addition, this code does not establish any disclosure obligation for any designated employees who are designated in a conflict of interest code for another agency, if all of the following apply: (A) The geographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction of the other agency; (B) The disclosure assigned in the code of the other agency is the same as that required under article 2 of chapter 7 of the Political Reform Act, Section 87200; and (C) The filing officer is the same for both agencies.1 Such persons are covered by this code for disqualification purposes only. With respect to all other designated employees, the disclosure categories set forth in the Appendix specify which kinds of economic interests are reportable. Such a designated employee shall disclose in his or her statement of economic interests those economic interests he or she has which are of the kind described in the disclosure categories to which he or she is assigned in the Appendix. It has been determined that the economic interests set forth in a designated employee's disclosure categories 31 3 are the kinds of economic interests which he or she foreseeably can affect materially through the conduct of his or her office. (4) Section 4. Statements of Economic Interests: Place of Filing. The code reviewing body shall instruct all designated employees within its code to file statements of economic interests with the agency or with the code reviewing body, as provided by the code reviewing body in the agency's conflict of interest code.2 (5) Section 5. Statements of Economic Interests: Time of Filing. (A) Initial Statements. All designated employees employed by the agency on the effective date of this code, as originally adopted, promulgated and approved by the code reviewing body, shall file statements within 30 days after the effective date of this code. Thereafter, each person already in a position when it is designated by an amendment to this code shall file an initial statement within 30 days after the effective date of the amendment. (B) Assuming Office Statements. All persons assuming designated positions after the effective date of this code shall file statements within 30 days after assuming the designated positions, or if subject to State Senate confirmation, 30 days after being nominated or appointed. (C) Annual Statements. All designated employees shall file statements no later than April 1. If a person reports for military service as defined in the Servicemember's Civil Relief Act, the deadline for the annual statement of economic interests is 30 days following his or her return to office, provided the person, or someone authorized to represent the person's interests, notifies the filing officer in writing prior to the applicable filing deadline that he or she is subject to that federal statute and is unable to meet the applicable deadline, and provides the filing officer verification of his or her military status. 32 4 (D) Leaving Office Statements. All persons who leave designated positions shall file statements within 30 days after leaving office. (5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming Office. Any person who resigns within 12 months of initial appointment, or within 30 days of the date of notice provided by the filing officer to file an assuming office statement, is not deemed to have assumed office or left office, provided he or she did not make or participate in the making of, or use his or her position to influence any decision and did not receive or become entitled to receive any form of payment as a result of his or her appointment. Such persons shall not file either an assuming or leaving office statement. (A) Any person who resigns a position within 30 days of the date of a notice from the filing officer shall do both of the following: (1) File a written resignation with the appointing power; and (2) File a written statement with the filing officer declaring under penalty of perjury that during the period between appointment and resignation he or she did not make, participate in the making, or use the position to influence any decision of the agency or receive, or become entitled to receive, any form of payment by virtue of being appointed to the position. (6) Section 6. Contents of and Period Covered by Statements of Economic Interests. (A) Contents of Initial Statements. Initial statements shall disclose any reportable investments, interests in real property and business positions held on the effective date of the code and income received during the 12 months prior to the effective date of the code. (B) Contents of Assuming Office Statements. 33 5 Assuming office statements shall disclose any reportable investments, interests in real property and business positions held on the date of assuming office or, if subject to State Senate confirmation or appointment, on the date of nomination, and income received during the 12 months prior to the date of assuming office or the date of being appointed or nominated, respectively. (C) Contents of Annual Statements. Annual statements shall disclose any reportable investments, interests in real property, income and business positions held or received during the previous calendar year provided, however, that the period covered by an employee's first annual statement shall begin on the effective date of the code or the date of assuming office whichever is later, or for a board or commission member subject to Section 87302.6, the day after the closing date of the most recent statement filed by the member pursuant to Regulation 18754. (D) Contents of Leaving Office Statements. Leaving office statements shall disclose reportable investments, interests in real property, income and business positions held or received during the period between the closing date of the last statement filed and the date of leaving office. (7) Section 7. Manner of Reporting. Statements of economic interests shall be made on forms prescribed by the Fair Political Practices Commission and supplied by the agency, and shall contain the following information: (A) Investment and Real Property Disclosure. When an investment or an interest in real property3 is required to be reported,4 the statement shall contain the following: 1. A statement of the nature of the investment or interest; 34 6 2. The name of the business entity in which each investment is held, and a general description of the business activity in which the business entity is engaged; 3. The address or other precise location of the real property; 4. A statement whether the fair market value of the investment or interest in real property equals or exceeds $2,000, exceeds $10,000, exceeds $100,000, or exceeds $1,000,000. (B) Personal Income Disclosure. When personal income is required to be reported,5 the statement shall contain: 1. The name and address of each source of income aggregating $500 or more in value, or $50 or more in value if the income was a gift, and a general description of the business activity, if any, of each source; 2. A statement whether the aggregate value of income from each source, or in the case of a loan, the highest amount owed to each source, was $1,000 or less, greater than $1,000, greater than $10,000, or greater than $100,000; 3. A description of the consideration, if any, for which the income was received; 4. In the case of a gift, the name, address and business activity of the donor and any intermediary through which the gift was made; a description of the gift; the amount or value of the gift; and the date on which the gift was received; 5. In the case of a loan, the annual interest rate and the security, if any, given for the loan and the term of the loan. (C) Business Entity Income Disclosure. When income of a business entity, including income of a sole proprietorship, is required to be reported,6 the statement shall contain: 1. The name, address, and a general description of the business activity of the business entity; 35 7 2. The name of every person from whom the business entity received payments if the filer's pro rata share of gross receipts from such person was equal to or greater than $10,000. (D) Business Position Disclosure. When business positions are required to be reported, a designated employee shall list the name and address of each business entity in which he or she is a director, officer, partner, trustee, employee, or in which he or she holds any position of management, a description of the business activity in which the business entity is engaged, and the designated employee's position with the business entity. (E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving office statement, if an investment or an interest in real property was partially or wholly acquired or disposed of during the period covered by the statement, the statement shall contain the date of acquisition or disposal. (8) Section 8. Prohibition on Receipt of Honoraria. (A) No member of a state board or commission, and no designated employee of a state or local government agency, shall accept any honorarium from any source, if the member or employee would be required to report the receipt of income or gifts from that source on his or her statement of economic interests. (B) This section shall not apply to any part-time member of the governing board of any public institution of higher education, unless the member is also an elected official. (C) Subdivisions (a), (b), and (c) of Section 89501 shall apply to the prohibitions in this section. (D) This section shall not limit or prohibit payments, advances, or reimbursements for travel and related lodging and subsistence authorized by Section 89506. (8.1) Section 8.1. Prohibition on Receipt of Gifts in Excess of $470. 36 8 (A) No member of a state board or commission, and no designated employee of a state or local government agency, shall accept gifts with a total value of more than $470 in a calendar year from any single source, if the member or employee would be required to report the receipt of income or gifts from that source on his or her statement of economic interests. (B) This section shall not apply to any part-time member of the governing board of any public institution of higher education, unless the member is also an elected official. (C) Subdivisions (e), (f), and (g) of Section 89503 shall apply to the prohibitions in this section. (8.2) Section 8.2. Loans to Public Officials. (A) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the elected officer holds office or over which the elected officer's agency has direction and control. (B) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the public official holds office or over which the public official's agency has direction and control. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (C) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected 37 9 officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. (D) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (E) This section shall not apply to the following: 1. Loans made to the campaign committee of an elected officer or candidate for elective office. 2. Loans made by a public official's spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such persons, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans from a person which, in the aggregate, do not exceed $500 at any given time. 38 10 4. Loans made, or offered in writing, before January 1, 1998. (8.3) Section 8.3. Loan Terms. (A) Except as set forth in subdivision (B), no elected officer of a state or local government agency shall, from the date of his or her election to office through the date he or she vacates office, receive a personal loan of $500 or more, except when the loan is in writing and clearly states the terms of the loan, including the parties to the loan agreement, date of the loan, amount of the loan, term of the loan, date or dates when payments shall be due on the loan and the amount of the payments, and the rate of interest paid on the loan. (B) This section shall not apply to the following types of loans: 1. Loans made to the campaign committee of the elected officer. 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such person, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans made, or offered in writing, before January 1, 1998. (C) Nothing in this section shall exempt any person from any other provision of Title 9 of the Government Code. (8.4) Section 8.4. Personal Loans. (A) Except as set forth in subdivision (B), a personal loan received by any designated employee shall become a gift to the designated employee for the purposes of this section in the following circumstances: 39 11 1. If the loan has a defined date or dates for repayment, when the statute of limitations for filing an action for default has expired. 2. If the loan has no defined date or dates for repayment, when one year has elapsed from the later of the following: a. The date the loan was made. b. The date the last payment of $100 or more was made on the loan. c. The date upon which the debtor has made payments on the loan aggregating to less than $250 during the previous 12 months. (B) This section shall not apply to the following types of loans: 1. A loan made to the campaign committee of an elected officer or a candidate for elective office. 2. A loan that would otherwise not be a gift as defined in this title. 3. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor has taken reasonable action to collect the balance due. 4. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor, based on reasonable business considerations, has not undertaken collection action. Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of proving that the decision for not taking collection action was based on reasonable business considerations. 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. (C) Nothing in this section shall exempt any person from any other provisions of Title 9 of the Government Code. 40 12 (9) Section 9. Disqualification. No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, on the official or a member of his or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth $2,000 or more; (B) Any real property in which the designated employee has a direct or indirect interest worth $2,000 or more; (C) Any source of income, other than gifts and other than loans by a commercial lending institution in the regular course of business on terms available to the public without regard to official status, aggregating $500 or more in value provided to, received by or promised to the designated employee within 12 months prior to the time when the decision is made; (D) Any business entity in which the designated employee is a director, officer, partner, trustee, employee, or holds any position of management; or (E) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $470 or more provided to, received by, or promised to the designated employee within 12 months prior to the time when the decision is made. (9.3) Section 9.3. Legally Required Participation. No designated employee shall be prevented from making or participating in the making of any decision to the extent his or her participation is legally required for the decision to be 41 13 made. The fact that the vote of a designated employee who is on a voting body is needed to break a tie does not make his or her participation legally required for purposes of this section. (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the general disqualification provisions of section 9, no state administrative official shall make, participate in making, or use his or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official, or any member of his or her immediate family has, within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in value $1,000 or more. (10) Section 10. Disclosure of Disqualifying Interest. When a designated employee determines that he or she should not make a governmental decision because he or she has a disqualifying interest in it, the determination not to act may be accompanied by disclosure of the disqualifying interest. (11) Section 11. Assistance of the Commission and Counsel. Any designated employee who is unsure of his or her duties under this code may request assistance from the Fair Political Practices Commission pursuant to Section 83114 and Regulations 18329 and 18329.5 or from the attorney for his or her agency, provided that nothing in this section requires the attorney for the agency to issue any formal or informal opinion. (12) Section 12. Violations. 42 14 This code has the force and effect of law. Designated employees violating any provision of this code are subject to the administrative, criminal and civil sanctions provided in the Political Reform Act, Sections 81000-91014. In addition, a decision in relation to which a violation of the disqualification provisions of this code or of Section 87100 or 87450 has occurred may be set aside as void pursuant to Section 91003. _______________ 1 Designated employees who are required to file statements of economic interests under any other agency's conflict of interest code, or under article 2 for a different jurisdiction, may expand their statement of economic interests to cover reportable interests in both jurisdictions, and file copies of this expanded statement with both entities in lieu of filing separate and distinct statements, provided that each copy of such expanded statement filed in place of an original is signed and verified by the designated employee as if it were an original. See Section 81004. 2 See Section 81010 and Regulation 18115 for the duties of filing officers and persons in agencies who make and retain copies of statements and forward the originals to the filing officer. 3 For the purpose of disclosure only (not disqualification), an interest in real property does not include the principal residence of the filer. 4 Investments and interests in real property which have a fair market value of less than $2,000 are not investments and interests in real property within the meaning of the Political Reform Act. However, investments or interests in real property of an individual include those held by the individual's spouse and dependent children as well as a pro rata share of any investment or interest in real property of any business entity or trust in which the individual, spouse and dependent children own, in the aggregate, a direct, indirect or beneficial interest of 10 percent or greater. 43 15 5 A designated employee's income includes his or her community property interest in the income of his or her spouse but does not include salary or reimbursement for expenses received from a state, local or federal government agency. 6 Income of a business entity is reportable if the direct, indirect or beneficial interest of the filer and the filer's spouse in the business entity aggregates a 10 percent or greater interest. In addition, the disclosure of persons who are clients or customers of a business entity is required only if the clients or customers are within one of the disclosure categories of the filer. Note: Authority cited: Section 83112, Government Code. Reference: Sections 87103(e), 87300-87302, 89501, 89502 and 89503, Government Code. HISTORY 1. New section filed 4-2-80 as an emergency; effective upon filing (Register 80, No. 14). Certificate of Compliance included. 2. Editorial correction (Register 80, No. 29). 3. Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter (Register 81, No. 2). 4. Amendment of subsection (b)(7)(B)1. filed 1-26-83; effective thirtieth day thereafter (Register 83, No. 5). 5. Amendment of subsection (b)(7)(A) filed 11-10-83; effective thirtieth day thereafter (Register 83, No. 46). 6. Amendment filed 4-13-87; operative 5-13-87 (Register 87, No. 16). 7. Amendment of subsection (b) filed 10-21-88; operative 11-20-88 (Register 88, No. 46). 8. Amendment of subsections (b)(8)(A) and (b)(8)(B) and numerous editorial changes filed 8-28- 90; operative 9-27-90 (Reg. 90, No. 42). 44 16 9. Amendment of subsections (b)(3), (b)(8) and renumbering of following subsections and amendment of Note filed 8-7-92; operative 9-7-92 (Register 92, No. 32). 10. Amendment of subsection (b)(5.5) and new subsections (b)(5.5)(A)-(A)(2) filed 2-4-93; operative 2-4-93 (Register 93, No. 6). 11. Change without regulatory effect adopting Conflict of Interest Code for California Mental Health Planning Council filed 11-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 48). Approved by Fair Political Practices Commission 9-21-93. 12. Change without regulatory effect redesignating Conflict of Interest Code for California Mental Health Planning Council as chapter 62, section 55100 filed 1-4-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 1). 13. Editorial correction adding History 11 and 12 and deleting duplicate section number (Register 94, No. 17). 14. Amendment of subsection (b)(8), designation of subsection (b)(8)(A), new subsection (b)(8)(B), and amendment of subsections (b)(8.1)-(b)(8.1)(B), (b)(9)(E) and Note filed 3-14-95; operative 3-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 11). 15. Editorial correction inserting inadvertently omitted language in footnote 4 (Register 96, No. 13). 16. Amendment of subsections (b)(8)(A)-(B) and (b)(8.1)(A), repealer of subsection (b)(8.1)(B), and amendment of subsection (b)(12) filed 10-23-96; operative 10-23-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 43). 17. Amendment of subsections (b)(8.1) and (9)(E) filed 4-9-97; operative 4-9-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15). 45 17 18. Amendment of subsections (b)(7)(B)5., new subsections (b)(8.2)-(b)(8.4)(C) and amendment of Note filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35). 19. Editorial correction of subsection (a) (Register 98, No. 47). 20. Amendment of subsections (b)(8.1), (b)(8.1)(A) and (b)(9)(E) filed 5-11-99; operative 5-11- 99 pursuant to Government Code section 11343.4(d) (Register 99, No. 20). 21. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) filed 12-6-2000; operative 1-1- 2001 pursuant to the 1974 version of Government Code section 11380.2 and Title 2, California Code of Regulations, section 18312(d) and (e) (Register 2000, No. 49). 22. Amendment of subsections (b)(3) and (b)(10) filed 1-10-2001; operative 2-1-2001. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2001, No. 2). 23. Amendment of subsections (b)(7)(A)4., (b)(7)(B)1.-2., (b)(8.2)(E)3., (b)(9)(A)-(C) and footnote 4. filed 2-13-2001. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2001, No. 7). 24. Amendment of subsections (b)(8.1)-(b)(8.1)(A) filed 1-16-2003; operative 1-1-2003. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, 46 18 nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2003, No. 3). 25. Editorial correction of History 24 (Register 2003, No. 12). 26. Editorial correction removing extraneous phrase in subsection (b)(9.5)(B) (Register 2004, No. 33). 27. Amendment of subsections (b)(2)-(3), (b)(3)(C), (b)(6)(C), (b)(8.1)-(b)(8.1)(A), (b)(9)(E) and (b)(11)-(12) filed 1-4-2005; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 1). 28. Amendment of subsection (b)(7)(A)4. filed 10-11-2005; operative 11-10-2005 (Register 2005, No. 41). 29. Amendment of subsections (a), (b)(1), (b)(3), (b)(8.1), (b)(8.1)(A) and (b)(9)(E) filed 12-18- 2006; operative 1-1-2007. Submitted to OAL pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2006, No. 51). 30. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) filed 10-31-2008; operative 11- 30-2008. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2008, No. 44). 31. Amendment of section heading and section filed 11-15-2010; operative 12-15-2010. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of 47 19 Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2010, No. 47). 32. Amendment of section heading and subsections (a)-(b)(1), (b)(3)-(4), (b)(5)(C), (b)(8.1)- (b)(8.1)(A) and (b)(9)(E) and amendment of footnote 1 filed 1-8-2013; operative 2-7-2013. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2013, No. 2). 33. Amendment of subsections (b)(8.1)-(b)(8.1)(A), (b)(8.2)(E)3. and (b)(9)(E) filed 12-15-2014; operative 1-1-2015 pursuant to section 18312(e)(1)(A), title 2, California Code of Regulations. Submitted to OAL for filing and printing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2014, No. 51). 34. Redesignation of portions of subsection (b)(8)(A) as new subsections (b)(8)(B)-(D), amendment of subsections (b)(8.1)-(b)(8.1)(A), redesignation of portions of subsection (b)(8.1)(A) as new subsections (b)(8.1)(B)-(C) and amendment of subsection (b)(9)(E) filed 12- 1-2016; operative 12-31-2016 pursuant to Cal. Code Regs. tit. 2, section 18312(e). Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, 48 20 April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2016, No. 49). 49 50 1 (Regulations of the Fair Political Practices Commission, Title 2, Division 6, California Code of Regulations.) § 18730. Provisions of Conflict of Interest Codes. (a) Incorporation by reference of the terms of this regulation along with the designation of employees and the formulation of disclosure categories in the Appendix referred to below constitute the adoption and promulgation of a conflict of interest code within the meaning of Section 87300 or the amendment of a conflict of interest code within the meaning of Section 87306 if the terms of this regulation are substituted for terms of a conflict of interest code already in effect. A code so amended or adopted and promulgated requires the reporting of reportable items in a manner substantially equivalent to the requirements of article 2 of chapter 7 of the Political Reform Act, Sections 81000, et seq . The requirements of a conflict of interest code are in addition to other requirements of the Political Reform Act, such as the general prohibition against conflicts of interest contained in Section 87100, and to other state or local laws pertaining to conflicts of interest. (b) The terms of a conflict of interest code amended or adopted and promulgated pursuant to this regulation are as follows: (1) Section 1. Definitions. The definitions contained in the Political Reform Act of 1974, regulations of the Fair Political Practices Commission (Regulations 18110, et seq.), and any amendments to the Act or regulations, are incorporated by reference into this conflict of interest code. (2) Section 2. Designated Employees. 51 2 The persons holding positions listed in the Appendix are designated employees. It has been determined that these persons make or participate in the making of decisions which may foreseeably have a material effect on economic interests. (3) Section 3. Disclosure Categories. This code does not establish any disclosure obligation for those designated employees who are also specified in Section 87200 if they are designated in this code in that same capacity or if the geographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction in which those persons must report their economic interests pursuant to article 2 of chapter 7 of the Political Reform Act, Sections 87200, et seq . In addition, this code does not establish any disclosure obligation for any designated employees who are designated in a conflict of interest code for another agency, if all of the following apply: (A) The geographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction of the other agency; (B) The disclosure assigned in the code of the other agency is the same as that required under article 2 of chapter 7 of the Political Reform Act, Section 87200; and (C) The filing officer is the same for both agencies. 1 Such persons are covered by this code for disqualification purposes only. With respect to all other designated employees, the disclosure categories set forth in the Appendix specify which kinds of economic interests are reportable. Such a designated employee shall disclose in his or her statement of economic interests those economic interests he or she has which are of the kind described in the disclosure categories to which he or she is assigned in the Appendix. It has been determined that the economic interests set forth in a designated employee's disclosure categories 52 3 are the kinds of economic interests which he or she foreseeably can affect materially through the conduct of his or her office. (4) Section 4. Statements of Economic Interests: Place of Filing. The code reviewing body shall instruct all designated employees within its code to file statements of economic interests with the agency or with the code reviewing body, as provided by the code reviewing body in the agency's conflict of interest code. 2 (5) Section 5. Statements of Economic Interests: Time of Filing. (A) Initial Statements. All designated employees employed by the agency on the effective date of this code, as originally adopted, promulgated and approved by the code reviewing body, shall file statements within 30 days after the effective date of this code. Thereafter, each person already in a position when it is designated by an amendment to this code shall file an initial statement within 30 days after the effective date of the amendment. (B) Assuming Office Statements. All persons assuming designated positions after the effective date of this code shall file statements within 30 days after assuming the designated positions, or if subject to State Senate confirmation, 30 days after being nominated or appointed. (C) Annual Statements. All designated employees shall file statements no later than April 1. If a person reports for military service as defined in the Servicemember's Civil Relief Act, the deadline for the annual statement of economic interests is 30 days following his or her return to office, provided the person, or someone authorized to represent the person's interests, notifies the filing officer in writing prior to the applicable filing deadline that he or she is subject to that federal statute and is unable to meet the applicable deadline, and provides the filing officer verification of his or her military status. 53 4 (D) Leaving Office Statements. All persons who leave designated positions shall file statements within 30 days after leaving office. (5.5) Section 5.5. Statements for Persons Who Resign Prior to Assuming Office. Any person who resigns within 12 months of initial appointment, or within 30 days of the date of notice provided by the filing officer to file an assuming office statement, is not deemed to have assumed office or left office, provided he or she did not make or participate in the making of, or use his or her position to influence any decision and did not receive or become entitled to receive any form of payment as a result of his or her appointment. Such persons shall not file either an assuming or leaving office statement. (A) Any person who resigns a position within 30 days of the date of a notice from the filing officer shall do both of the following: (1) File a written resignation with the appointing power; and (2) File a written statement with the filing officer declaring under penalty of perjury that during the period between appointment and resignation he or she did not make, participate in the making, or use the position to influence any decision of the agency or receive, or become entitled to receive, any form of payment by virtue of being appointed to the position. (6) Section 6. Contents of and Period Covered by Statements of Economic Interests. (A) Contents of Initial Statements. Initial statements shall disclose any reportable investments, interests in real property and business positions held on the effective date of the code and income received during the 12 months prior to the effective date of the code. (B) Contents of Assuming Office Statements. 54 5 Assuming office statements shall disclose any reportable investments, interests in real property and business positions held on the date of assuming office or, if subject to State Senate confirmation or appointment, on the date of nomination, and income received during the 12 months prior to the date of assuming office or the date of being appointed or nominated, respectively. (C) Contents of Annual Statements. Annual statements shall disclose any reportable investments, interests in real property, income and business positions held or received during the previous calendar year provided, however, that the period covered by an employee's first annual statement shall begin on the effective date of the code or the date of assuming office whichever is later, or for a board or commission member subject to Section 87302.6, the day after the closing date of the most recent statement filed by the member pursuant to Regulation 18754. (D) Contents of Leaving Office Statements. Leaving office statements shall disclose reportable investments, interests in real property, income and business positions held or received during the period between the closing date of the last statement filed and the date of leaving office. (7) Section 7. Manner of Reporting. Statements of economic interests shall be made on forms prescribed by the Fair Political Practices Commission and supplied by the agency, and shall contain the following information: (A) Investment and Real Property Disclosure. When an investment or an interest in real property 3 is required to be reported, 4 the statement shall contain the following: 1. A statement of the nature of the investment or interest; 55 6 2. The name of the business entity in which each investment is held, and a general description of the business activity in which the business entity is engaged; 3. The address or other precise location of the real property; 4. A statement whether the fair market value of the investment or interest in real property equals or exceeds $2,000, exceeds $10,000, exceeds $100,000, or exceeds $1,000,000. (B) Personal Income Disclosure. When personal income is required to be reported, 5 the statement shall contain: 1. The name and address of each source of income aggregating $500 or more in value, or $50 or more in value if the income was a gift, and a general description of the business activity, if any, of each source; 2. A statement whether the aggregate value of income from each source, or in the case of a loan, the highest amount owed to each source, was $1,000 or less, greater than $1,000, greater than $10,000, or greater than $100,000; 3. A description of the consideration, if any, for which the income was received; 4. In the case of a gift, the name, address and business activity of the donor and any intermediary through which the gift was made; a description of the gift; the amount or value of the gift; and the date on which the gift was received; 5. In the case of a loan, the annual interest rate and the security, if any, given for the loan and the term of the loan. (C) Business Entity Income Disclosure. When income of a business entity, including income of a sole proprietorship, is required to be reported, 6 the statement shall contain: 1. The name, address, and a general description of the business activity of the business entity; 56 7 2. The name of every person from whom the business entity received payments if the filer's pro rata share of gross receipts from such person was equal to or greater than $10,000. (D) Business Position Disclosure. When business positions are required to be reported, a designated employee shall list the name and address of each business entity in which he or she is a director, officer, partner, trustee, employee, or in which he or she holds any position of management, a description of the business activity in which the business entity is engaged, and the designated employee's position with the business entity. (E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving office statement, if an investment or an interest in real property was partially or wholly acquired or disposed of during the period covered by the statement, the statement shall contain the date of acquisition or disposal. (8) Section 8. Prohibition on Receipt of Honoraria. (A) No member of a state board or commission, and no designated employee of a state or local government agency, shall accept any honorarium from any source, if the member or employee would be required to report the receipt of income or gifts from that source on his or her statement of economic interests. This section shall not apply to any part-time member of the governing board of any public institution of higher education, unless the member is also an elected official. Subdivisions (a), (b), and (c) of Section 89501 shall apply to the prohibitions in this section. This section shall not limit or prohibit payments, advances, or reimbursements for travel and related lodging and subsistence authorized by Section 89506. (8.1) Section 8.1. Prohibition on Receipt of Gifts in Excess of $460. 57 8 (A) No member of a state board or commission, and no designated employee of a state or local government agency, shall accept gifts with a total value of more than $460 in a calendar year from any single source, if the member or employee would be required to report the receipt of income or gifts from that source on his or her statement of economic interests. This section shall not apply to any part-time member of the governing board of any public institution of higher education, unless the member is also an elected official. Subdivisions (e), (f), and (g) of Section 89503 shall apply to the prohibitions in this section. (8.2) Section 8.2. Loans to Public Officials. (A) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the elected officer holds office or over which the elected officer's agency has direction and control. (B) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a personal loan from any officer, employee, member, or consultant of the state or local government agency in which the public official holds office or over which the public official's agency has direction and control. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (C) No elected officer of a state or local government agency shall, from the date of his or her election to office through the date that he or she vacates office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected 58 9 officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. (D) No public official who is exempt from the state civil service system pursuant to subdivisions (c), (d), (e), (f), and (g) of Section 4 of Article VII of the Constitution shall, while he or she holds office, receive a personal loan from any person who has a contract with the state or local government agency to which that elected officer has been elected or over which that elected officer's agency has direction and control. This subdivision shall not apply to loans made by banks or other financial institutions or to any indebtedness created as part of a retail installment or credit card transaction, if the loan is made or the indebtedness created in the lender's regular course of business on terms available to members of the public without regard to the elected officer's official status. This subdivision shall not apply to loans made to a public official whose duties are solely secretarial, clerical, or manual. (E) This section shall not apply to the following: 1. Loans made to the campaign committee of an elected officer or candidate for elective office. 2. Loans made by a public official's spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such persons, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans from a person which, in the aggregate, do not exceed $500 at any given time. 59 10 4. Loans made, or offered in writing, before January 1, 1998. (8.3) Section 8.3. Loan Terms. (A) Except as set forth in subdivision (B), no elected officer of a state or local government agency shall, from the date of his or her election to office through the date he or she vacates office, receive a personal loan of $500 or more, except when the loan is in writing and clearly states the terms of the loan, including the parties to the loan agreement, date of the loan, amount of the loan, term of the loan, date or dates when payments shall be due on the loan and the amount of the payments, and the rate of interest paid on the loan. (B) This section shall not apply to the following types of loans: 1. Loans made to the campaign committee of the elected officer. 2. Loans made to the elected officer by his or her spouse, child, parent, grandparent, grandchild, brother, sister, parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin, or the spouse of any such person, provided that the person making the loan is not acting as an agent or intermediary for any person not otherwise exempted under this section. 3. Loans made, or offered in writing, before January 1, 1998. (C) Nothing in this section shall exempt any person from any other provision of Title 9 of the Government Code. (8.4) Section 8.4. Personal Loans. (A) Except as set forth in subdivision (B), a personal loan received by any designated employee shall become a gift to the designated employee for the purposes of this section in the following circumstances: 60 11 1. If the loan has a defined date or dates for repayment, when the statute of limitations for filing an action for default has expired. 2. If the loan has no defined date or dates for repayment, when one year has elapsed from the later of the following: a. The date the loan was made. b. The date the last payment of $100 or more was made on the loan. c. The date upon which the debtor has made payments on the loan aggregating to less than $250 during the previous 12 months. (B) This section shall not apply to the following types of loans: 1. A loan made to the campaign committee of an elected officer or a candidate for elective office. 2. A loan that would otherwise not be a gift as defined in this title. 3. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor has taken reasonable action to collect the balance due. 4. A loan that would otherwise be a gift as set forth under subdivision (A), but on which the creditor, based on reasonable business considerations, has not undertaken collection action. Except in a criminal action, a creditor who claims that a loan is not a gift on the basis of this paragraph has the burden of proving that the decision for not taking collection action was based on reasonable business considerations. 5. A loan made to a debtor who has filed for bankruptcy and the loan is ultimately discharged in bankruptcy. (C) Nothing in this section shall exempt any person from any other provisions of Title 9 of the Government Code. 61 12 (9) Section 9. Disqualification. No designated employee shall make, participate in making, or in any way attempt to use his or her official position to influence the making of any governmental decision which he or she knows or has reason to know will have a reasonably foreseeable material financial effect, distinguishable from its effect on the public generally, on the official or a member of his or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth $2,000 or more; (B) Any real property in which the designated employee has a direct or indirect interest worth $2,000 or more; (C) Any source of income, other than gifts and other than loans by a commercial lending institution in the regular course of business on terms available to the public without regard to official status, aggregating $500 or more in value provided to, received by or promised to the designated employee within 12 months prior to the time when the decision is made; (D) Any business entity in which the designated employee is a director, officer, partner, trustee, employee, or holds any position of management; or (E) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating $460 or more provided to, received by, or promised to the designated employee within 12 months prior to the time when the decision is made. (9.3) Section 9.3. Legally Required Participation. No designated employee shall be prevented from making or participating in the making of any decision to the extent his or her participation is legally required for the decision to be 62 13 made. The fact that the vote of a designated employee who is on a voting body is needed to break a tie does not make his or her participation legally required for purposes of this section. (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the general disqualification provisions of section 9, no state administrative official shall make, participate in making, or use his or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official, or any member of his or her immediate family has, within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public, regarding any investment or interest in real property; or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in value $1,000 or more. (10) Section 10. Disclosure of Disqualifying Interest. When a designated employee determines that he or she should not make a governmental decision because he or she has a disqualifying interest in it, the determination not to act may be accompanied by disclosure of the disqualifying interest. (11) Section 11. Assistance of the Commission and Counsel. Any designated employee who is unsure of his or her duties under this code may request assistance from the Fair Political Practices Commission pursuant to Section 83114 and Regulations 18329 and 18329.5 or from the attorney for his or her agency, provided that nothing in this section requires the attorney for the agency to issue any formal or informal opinion. (12) Section 12. Violations. 63 14 This code has the force and effect of law. Designated employees violating any provision of this code are subject to the administrative, criminal and civil sanctions provided in the Political Reform Act, Sections 81000-91014. In addition, a decision in relation to which a violation of the disqualification provisions of this code or of Section 87100 or 87450 has occurred may be set aside as void pursuant to Section 91003. _________________ 1 Designated employees who are required to file statements of economic interests under any other agency's conflict of interest code, or under article 2 for a different jurisdiction, may expand their statement of economic interests to cover reportable interests in both jurisdictions, and file copies of this expanded statement with both entities in lieu of filing separate and distinct statements, provided that each copy of such expanded statement filed in place of an original is signed and verified by the designated employee as if it were an original. See Section 81004. 2 See Section 81010 and Regulation 18115 for the duties of filing officers and persons in agencies who make and retain copies of statements and forward the originals to the filing officer. 3 For the purpose of disclosure only (not disqualification), an interest in real property does not include the principal residence of the filer. 4 Investments and interests in real property which have a fair market value of less than $2,000 are not investments and interests in real property within the meaning of the Political Reform Act. However, investments or interests in real property of an individual include those held by the individual's spouse and dependent children as well as a pro rata share of any investment or interest in real property of any business entity or trust in which the individual, spouse and 64 15 dependent children own, in the aggregate, a direct, indirect or beneficial interest of 10 percent or greater. 5 A designated employee's income includes his or her community property interest in the income of his or her spouse but does not include salary or reimbursement for expenses received from a state, local or federal government agency. 6 Income of a business entity is reportable if the direct, indirect or beneficial interest of the filer and the filer's spouse in the business entity aggregates a 10 percent or greater interest. In addition, the disclosure of persons who are clients or customers of a business entity is required only if the clients or customers are within one of the disclosure categories of the filer. Note: Authority cited: Section 83112, Government Code. Reference: Sections 87103(e), 87300- 87302, 89501, 89502 and 89503, Government Code. HISTORY 1. New section filed 4-2-80 as an emergency; effective upon filing (Register 80, No. 14). Certificate of Compliance included. 2. Editorial correction (Register 80, No. 29). 3. Amendment of subsection (b) filed 1-9-81; effective thirtieth day thereafter (Register 81, No. 2). 4. Amendment of subsection (b)(7)(B)1. filed 1-26-83; effective thirtieth day thereafter (Register 83, No. 5). 5. Amendment of subsection (b)(7)(A) filed 11-10-83; effective thirtieth day thereafter (Register 83, No. 46). 6. Amendment filed 4-13-87; operative 5-13-87 (Register 87, No. 16). 65 16 7. Amendment of subsection (b) filed 10-21-88; operative 11-20-88 (Register 88, No. 46). 8. Amendment of subsections (b)(8)(A) and (b)(8)(B) and numerous editorial changes filed 8-28-90; operative 9-27-90 (Reg. 90, No. 42). 9. Amendment of subsections (b)(3), (b)(8) and renumbering of following subsections and amendment of Note filed 8-7-92; operative 9-7-92 (Register 92, No. 32). 10. Amendment of subsection (b)(5.5) and new subsections (b)(5.5)(A)-(A)(2) filed 2-4-93; operative 2-4-93 (Register 93, No. 6). 11. Change without regulatory effect adopting Conflict of Interest Code for California Mental Health Planning Council filed 11-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 48). Approved by Fair Political Practices Commission 9-21-93. 12. Change without regulatory effect redesignating Conflict of Interest Code for California Mental Health Planning Council as chapter 62, section 55100 filed 1-4-94 pursuant to title 1, section 100, California Code of Regulations (Register 94, No. 1). 13. Editorial correction adding History 11 and 12 and deleting duplicate section number (Register 94, No. 17). 14. Amendment of subsection (b)(8), designation of subsection (b)(8)(A), new subsection (b)(8)(B), and amendment of subsections (b)(8.1)-(b)(8.1)(B), (b)(9)(E) and Note filed 3-14-95; operative 3-14-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 11). 15. Editorial correction inserting inadvertently omitted language in footnote 4 (Register 96, No. 13). 66 17 16. Amendment of subsections (b)(8)(A)-(B) and (b)(8.1)(A), repealer of subsection (b)(8.1)(B), and amendment of subsection (b)(12) filed 10-23-96; operative 10-23-96 pursuant to Government Code section 11343.4(d) (Register 96, No. 43). 17. Amendment of subsections (b)(8.1) and (9)(E) filed 4-9-97; operative 4-9-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15). 18. Amendment of subsections (b)(7)(B)5., new subsections (b)(8.2)-(b)(8.4)(C) and amendment of Note filed 8-24-98; operative 8-24-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 35). 19. Editorial correction of subsection (a) (Register 98, No. 47). 20. Amendment of subsections (b)(8.1), (b)(8.1)(A) and (b)(9)(E) filed 5-11-99; operative 5-11-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 20). 21. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) filed 12-6-2000; operative 1-1-2001 pursuant to the 1974 version of Government Code section 11380.2 and Title 2, California Code of Regulations, section 18312(d) and (e) (Register 2000, No. 49). 22. Amendment of subsections (b)(3) and (b)(10) filed 1-10-2001; operative 2-1-2001. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2001, No. 2). 23. Amendment of subsections (b)(7)(A)4., (b)(7)(B)1.-2., (b)(8.2)(E)3., (b)(9)(A)-(C) and footnote 4. filed 2-13-2001. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third 67 18 Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2001, No. 7). 24. Amendment of subsections (b)(8.1)-(b)(8.1)(A) filed 1-16-2003; operative 1-1-2003. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2003, No. 3). 25. Editorial correction of History 24 (Register 2003, No. 12). 26. Editorial correction removing extraneous phrase in subsection (b)(9.5)(B) (Register 2004, No. 33). 27. Amendment of subsections (b)(2)-(3), (b)(3)(C), (b)(6)(C), (b)(8.1)-(b)(8.1)(A), (b)(9)(E) and (b)(11)-(12) filed 1-4-2005; operative 1-1-2005 pursuant to Government Code section 11343.4 (Register 2005, No. 1). 28. Amendment of subsection (b)(7)(A)4. filed 10-11-2005; operative 11-10-2005 (Register 2005, No. 41). 29. Amendment of subsections (a), (b)(1), (b)(3), (b)(8.1), (b)(8.1)(A) and (b)(9)(E) filed 12-18- 2006; operative 1-1-2007. Submitted to OAL pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2006, No. 51). 30. Amendment of subsections (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) filed 10-31-2008; operative 11-30-2008. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate 68 19 District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2008, No. 44). 31. Amendment of section heading and section filed 11-15-2010; operative 12-15-2010. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2010, No. 47). 32. Amendment of section heading and subsections (a)-(b)(1), (b)(3)-(4), (b)(5)(C), (b)(8.1)-(b)(8.1)(A) and (b)(9)(E) and amendment of footnote 1 filed 1-8-2013; operative 2-7-2013. Submitted to OAL for filing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements and not subject to procedural or substantive review by OAL) (Register 2013, No. 2). 33. Amendment of subsections (b)(8.1)-(b)(8.1)(A), (b)(8.2)(E)3. and (b)(9)(E) filed 12-15-2014; operative 1-1-2015 pursuant to section 18312(e)(1)(A), title 2, California Code of Regulations. Submitted to OAL for filing and printing pursuant to Fair Political Practices Commission v. Office of Administrative Law, 3 Civil C010924, California Court of Appeal, Third Appellate District, nonpublished decision, April 27, 1992 (FPPC regulations only subject to 1974 Administrative Procedure Act rulemaking requirements) (Register 2014, No. 51). 69 EXHIBIT B – CONFLICT OF INTEREST CODE LIST OF DESIGNATED POSITIONS Adopted via Resolution 16-___ DESIGNATED POSITIONS DISCLOSURE CATEGORY City Manager's Office City Clerk/Assistant to the City Manager A through E Public Works Department Public Works Director Associate Engineer Public Works Manager – Parks Public Works Manager – Streets and Fleet Senior Civil Engineer A through E Community Development Department Community Development Director Building Official City Arborist Senior Planner A through E Recreation & Facilities Department Recreation & Facilities Director Facilities Manager Recreation Supervisor A through E Finance & Administrative Services Department Finance & Administrative Services Director Finance Manager Human Resources Manager Information Technology Administrator A through E Commissions Heritage Preservation Library Parks and Recreation Planning Traffic Safety A through E Consultants City Geotechnical Consultant A through E (only those investments, business positions, and sources of income of the type which engage in land development, construction or the acquisition or sale of real property; interests in real property in the jurisdiction, including within a two-mile radius of any property owned or used by the City of Saratoga) City Surveyor A through E 70 (only those investments, business positions, and sources of income of the type which engage in land development, construction or the acquisition or sale of real property; interests in real property in the jurisdiction, including within a two-mile radius of any property owned or used by the City of Saratoga) Other Consultants* *Consultants shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation: The City Manager may determine in writing that a particular consultant, although a "designated position," is hired to perform a range of duties that is limited in scope and thus is not required to fully comply with the disclosure requirements described in this section. Such written determination shall include a description of the consultant’s duties and, based upon that description, a statement of the extent of disclosure requirements. The City Manager’s determination is a public record and shall by retained for public inspection in the same manner and location as this Conflict of Interest Code. KEY TO DISCLOSURE CATEGORIES Category A-1: Investments less than 10% ownership Category A-2: Investments greater than 10% ownership Category B: Real Property Category C: Income, Loans and Business Positions Category D: Income - Gifts Category E: Income – Gifts, Travel Payments, Advances and Reimbursements 71 SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:Community Development Department PREPARED BY:Sandy L. Baily, Special Projects Manager SUBJECT:Ordinance Amending Heritage Preservation Commission Membership Requirements RECOMMENDED ACTION: Waive the second reading and adopt the attached ordinance amending Chapter 13 (Heritage Preservation) of the Saratoga Municipal Code related to Heritage Preservation Commission membership requirements. BACKGROUND: On September 19, 2018, the City Council introduced amendments to Chapter 13 (Heritage Preservation) of the Saratoga Municipal Code related to Heritage Preservation Commission membership requirements and directed staff to place the ordinance on the Consent Calendar for adoption at the next regular meeting of the City Council. ADVERTISING, NOTICING AND PUBLIC CONTACT: This ordinance or a comprehensive summary thereof shall be published in a newspaper of general circulation of the City of Saratoga within 15 days after its adoption. ATTACHMENT: 1.Ordinance 72 Ordinance No. An Ordinance Adopting Amendments to the City Code Related to the Heritage Preservation Commission HPOA-18-0001 The City Council of the City of Saratoga finds that: 1.The City desires to make amendments to its City Code to provide an expanded opportunity of appointing qualified members to the Heritage Preservation Commission. 2.As a Certified Local Government (CLG), the proposed amendments have been reviewed by the State Office of Historic Preservation, and are consistent with CLG Commission requirements; 3.The Heritage Preservation Commission considered the draft Ordinance, supporting documents, and all testimony and other evidence presented at their August 14, 2018 public meeting; 4.The City Council of the City of Saratoga held a duly noticed public hearing on September 19, 2018, and after considering all testimony and written materials provided in connection with that hearing introduced this ordinance and waived the reading thereof. The City Council adopted this ordinance after a second reading was waived at a duly noticed public meeting on October 3, 2018. The City Council of the City of Saratoga does ordain as follows: Section 1.Adoption. The Saratoga City Code is hereby amended as set forth in Attachment A. Section 2.California Environmental Quality Act. Pursuant to the California Environmental Quality Act (“CEQA”), this action to amend the City Code regarding the Heritage Preservation Commission is exempt from CEQA under California Code of Regulations, Title 14, Section 15061(b)(3) which provides that CEQA applies only to projects which have the potential of causing a significant effect on the environment, and that where, as here, it can be seen with certainty that there is no reasonable possibilitythat the activity in question may have a significant effect on the environment, the activity is not subject to CEQA. Section 3.Severance Clause. The City Council declares that each section, sub-section, paragraph, sub-paragraph, sentence, clause, and phrase of this ordinance is severable and independent of every other section, sub-section, sentence, clause, and phrase of this ordinance. If any section, sub- section, paragraph, sub-paragraph, sentence, clause, or phrase is held invalid, the City Council 73 declares that it would have adopted the remaining provisions of this ordinance irrespective of the portion held invalid and further declares its express intent that the remaining portions of this ordinance should remain in effect after the invalid portion has been eliminated. Section 4.Publication. A summary of this Ordinance shall be published in a newspaper of general circulation of the City of Saratoga within fifteen days after its adoption. Following a duly noticed public hearing, the foregoing ordinance was introduced at the regular meeting of the City Council of the City of Saratoga held on September 19, 2018, and was adopted by the following vote on October 3, 2018. COUNCIL MEMBERS: AYES: NAYS: ABSE NT: ABSTAIN: ATTEST: SIGNED: Mary-Lynne Bernald MAYOR OF THE CITY OF SARATOGA Debbie Bretschneider, INTERIM CITY CLERK APPROVED AS TO FORM: Date: Date: RICHARD TAYLOR, CITY ATTORNEY 74 Attachment A — An Ordinance Adopting Amendments to the City Code Related to the Heritage Preservation Commission The sections of the Saratoga Municipal Code as set forth below are amended or adopted as follows: Text added to existing provisions is shown in bold double underlined text (example) and text to be deleted in shown in strikethrough (example). Text in italics is explanatory and is not an amendment to the Code 13-10.010 - Creation; qualification and residency of members. There is hereby established a Heritage Preservation Commission consisting of seven five unpaid members who shall be appointed by the City Council, with the following qualifications: and shall all have a demonstrated interest in, competence or knowledge in historic preservation. In addition: (a) One of the members who shall have been a candidate nominated by the Saratoga Historical Foundation. (b)A minimum of tTwo of the members who, by reason of training and experience, are knowledgeable in the field of construction and structural rehabilitation, such as a licensed architect, engineer, contractor or urban planner. Such members must either reside or have a place of business within the City; provided, however, with the approval of the City Council, any such members who do not maintain an office within the City may reside within the geographic area covered by the 95070 U.S. Postal Service zip code.shall be appointed from among the disciplines of architecture, history, architectural history, planning, archeology or other historic preservation related disciplines such as urban planning, architecture/construction, American studies, American civilization, cultural geography or cultural anthropology, to the extent that such professionals are available in the community. The candidate nominated by the Saratoga Historical Foundation can qualify as this professional member. (c) Four members appointed at large having demonstrable interest in preservation of the heritage resources within the City. Such members must be residents of the City or, with the approval of the City Council, may reside within the geographic area covered by the 95070 U.S. Postal Service zip code. 1037912.2 75 SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:City Manager’s Office PREPARED BY:Crystal Bothelio, Deputy City Manager SUBJECT:Ordinance Amending Tobacco Retailer License Penalties & Banning Flavored Tobacco RECOMMENDED ACTION: Conduct a public hearing on the attached ordinance that would amend penalties for violation of the City of Saratoga’s Tobacco Retailer License Ordinance and prohibit sale of tobacco at pharmacies and sale of flavored tobacco, not including menthol tobacco, in the City of Saratoga through amendments to Article 4.90 of the City Code;introduce and waive the first reading of the ordinance;and,direct staff to place the ordinance on the Consent Calendar for adoption at the next regularly scheduled City Council Meeting. BACKGROUND: At the City Council Meeting on August 15, 2018, the City Council directed staff to prepare an ordinance for City Council consideration that would amend penalties for violations of the City’s Tobacco Retailer License regulations and prohibit sale of flavored tobacco, not including menthol products. This direction was provided in lieu of direction provided at the June 20, 2018 City Council Meeting regarding tobacco regulations. Desired amendments to the penalties included: 1) changing the suspension period to 60 days for the first violation within a 24 month period; 2) starting the suspension period on the date that an Administrative Citation is issued for the violation; and, 3) after a second or subsequent violati on in a 24 month period revoking tobacco retailer licenses and prohibiting reapplication for 24 months.Additionally, the City Council directed staff to prepare and ordinance amending Tobacco Retailer regulations to prohibit pharmacies from selling tobacco at the 2018 City Council Retreat. Currently, tobacco retailers are required to obtain a Tobacco Retailer License to sell tobacco products in the City. This includes traditional tobacco products, as well as paraphernalia and electronic smoking devices. The term of the license is 1 year, similar to a business license. Any retailer that violates the requirements of the license is subject to a $100 Administrative Citation and 30 day license suspension from the date of the violation for the first violation in a 12 month period. If a second violation occurs in a 12 month period, the retailer is subject to a $200 Administrative Citation and revocation of the license for a 12 months. The retailer may not reapply for a license for 12 months. If any subsequent violations occur within 12 months, the 76 retailer is subject to an Administrative Citation of $500 per violation and the retailer would be ineligible to apply for a new license for 12 months. When the City’s Tobacco Retailer License regulations were adopted in 2016, the City Council included limitations on retailer locations. Retailers may not be located within 500 feet of another retailer or within 1,000 feet of a school or park. Retailers in the City prior to adoption of the ordinance were exempted from this provision of the Code. However, if the license of an exempted is revoked for violating retailer requirements then the retailer will be subject to the limitations on retailer locations. ADVERTISING, NOTICING AND PUBLIC CONTACT: A notice advertising the public hearing for this ordinance was published in the Saratoga News on September 21, 2018. ATTACHMENTS: Attachment A – Ordinance Amending Article 4.90 of the City Code Attachment B – Written Communications 77 ORDINANCE NO. __________ AN ORDINANCE AMENDING CHAPTER 4 OF THE SARATOGA CITY CODE, TOBACCO RETAILER LICENSE THE CITY COUNCIL OF THE CITY OF SARATOGA HEREBY ORDAINS AS FOLLOWS: Findings 1.The City of Saratoga wishes to amend the provisions of the City Code concerning Tobacco Retailer License regulations to strengthen penalties for violations in an effort to discourage underage tobacco sales. 2.The City of Saratoga also seeks to further protect minors and underage individuals from tobacco by prohibiting sale of tobacco at pharmacies and of flavored tobacco products, not including menthol, as these products are often flavored and packaged to appeal to youth and serve as a gateway to tobacco addiction. 3. The City Council of the City of Saratoga held a duly noticed public hearing on October 3, 2018, and after considering all testimony and written materials provided in connection with that hearing introduced this ordinance and waived the reading thereof. Therefore, the City Council hereby ordains as follows: Section 1.Adoption. The Saratoga City Code is amended as set forth in Attachment 1. Text to be added is indicated in bold double-underlined font (e.g., bold double-underlined) and text to be deleted is indicated in strikeout font (e.g., strikeout). Text in standard font is readopted by this ordinance. Text in italics (e.g., italics) is descriptive only and is not part of the amendments to the City Code. Section 2. Severance Clause. The City Council declares that each section, sub-section, paragraph, sub-paragraph, sentence, clause and phrase of this ordinance is severable and independent of every other section, sub- section, paragraph, sub-paragraph, sentence, clause and phrase of this ordinance. If any section, sub-section, paragraph, sub-paragraph, sentence, clause or phrase of this ordinance is held invalid, the City Council declares that it would have adopted the remaining provisions of this ordinance irrespective of the portion held invalid, and further declares its express intent that the remaining portions of this ordinance should remain in effect after the invalid portion has been eliminated. Section 3. California Environmental Quality Act The proposed amendments and additions to the City Code are Categorically Exempt from the California Environmental Quality Act (CEQA) pursuant to CEQA Guideline section 15061(b)(3). CEQA applies only to projects which have the potential of causing a significant effect on the environment. Where it can be seen with certainty that there is no possibility that the activity in 78 question may have a significant effect on the environment, the activity is not subject to CEQA. In this circumstance the amendments to the existing City Code address regulation of animals only and would have a de minimis impact on the environment. Section 4. Publication. A summary of this ordinance shall be published in a newspaper of general circulation of the City of Saratoga within fifteen days after its adoption. Following a duly noticed public hearing the foregoing ordinance was introduced at the regular meeting of the City Council of the City of Saratoga held on the 3rd day of October 2018, and was adopted by the following vote on October 17, 2018. COUNCIL MEMBERS: AYES: NAYS: ABSENT: ABSTAIN: SIGNED: Mary-Lynne Bernald MAYOR, CITY OF SARATOGA, CALIFORNIA ATTEST: DATE: Debbie Bretschneider, INTERIM CITY CLERK APPROVED AS TO FORM: DATE: Richard Taylor CITY ATTORNEY 79 Attachment 1 – Amendments to Article 4-90 of the Saratoga City Code Article 4-90 - TOBACCO RETAILER LICENSE 4-90.010 - Purpose. This Article is intended to set forth a local licensing process for tobacco retailers to ensure compliance with City business standards and practices; encourage responsible retailing of tobacco products and electronic smoking devices; discourage violations of laws related to tobacco products and electronic smoking devices, especially those laws that prohibit or discourage sale or distribution of tobacco products or electronic smoking devices to minors; and, protect the public health, safety, and welfare. This Article does not expand or reduce the degree to which the acts regulated by federal or state law are criminally proscribed or alter the penalties provided by such laws. 4-90.020 - Definitions. (a) Electronic smoking device means an electronic and/or battery-operated device, the use of which may resemble smoking, which can be used to deliver an inhaled dose of vapors including nicotine or other substances. "Electronic smoking device" includes any such device, whether it is manufactured, distributed, marketed, or sold as an electronic cigarette, electronic cigar, electronic cigarillo, electronic pipe, electronic hookah, electronic vape, vaporizer or any other product name or description. "Electronic smoking device" does not include any product specifically approved by the United States Food and Drug Administration for the use in the mitigation, treatment, or prevention of disease. (b) Flavored tobacco product means any tobacco product that imparts a taste or aroma, other than the taste or aroma of tobacco or menthol, imparted either prior to or during consumption of a tobacco product or any byproduct produced by the tobacco product, including, but not limited to, tastes or aromas relating to mint, wintergreen, fruit, chocolate, vanilla, honey, candy, cocoa, dessert, alcoholic beverage, herb, or spice; provided, however, that a tobacco product shall not be determined to be flavored tobacco solely because of the use of additives or flavorings or the provision of ingredient information. (bc) Paraphernalia means cigarette papers or wrappers, pipes, holders of smoking materials of all types, rolling machines, and any other item designed for smoking or for ingestion of tobacco products. (cd) Person means any natural person, partnership, cooperative association, private corporation, personal representative, receiver, trustee, assignee, or any other legal entity. (de) Retailer means any person who sells, exchanges, or offers to sell or exchange, for any form of consideration, tobacco products, paraphernalia, or electronic smoking devices. "Retailing" shall mean the doing of any of these things whether exclusively or in conjunction with any other use. The definition of a retailer is without regard to the quantity of tobacco products, paraphernalia, or electronic smoking devices sold, exchanged, or offered for sale or exchange. (ef) Self-service display means the open display or storage of tobacco products, paraphernalia, or electronic smoking devices in a manner that is physically accessible in any way to the direct general public without the assistance of the retailer or employee of the retailer and a direct person-to-person transfer between the purchaser and the retailer or employee of the retailer. 80 (fg) Tobacco product means any substance containing tobacco leaf, including but not limited to cigarettes, cigars, pipe tobacco, hookah tobacco, snuff, chewing tobacco, dipping tobacco, snus, bidis, or any other preparation of tobacco (such as flavored tobacco); and any product or formulation of product containing biologically active amounts of nicotine that is manufactured, sold, offered for sale, or otherwise distributed with the expectation that the product or matter will be introduced into the human body, but does not include any cessation product specifically approved by the United States Food and Drug Administration for use in treating nicotine or tobacco dependence. (gh) Tobacco retailer license is a license issued pursuant to this Article. 4-90.030 - License required. It shall be unlawful for any person to act as a retailer in the City of Saratoga without first obtaining and maintaining a valid tobacco retailer license pursuant to this Article for each location at which the activity is to occur. 4-90.040 - Regulations and prohibitions. (a) Lawful business operation.It shall be a violation of this Article for any retailer to violate any local, state, or federal law applicable to tobacco products, electronic smoking devices, or the retailing of such products. (b)Location.Retailing activities shall be conducted at a fixed location and within an enclosed area of a commercial premises accessible to the general public during the hours of business operation. No tobacco retailers established after September 16, 2016, shall be granted a tobacco retailer license for a location which is: within five hundred feet of a site occupied by another tobacco retailer; within one thousand feet of a site occupied by a public or private elementary, middle, or high school; or within one thousand feet of a site occupied by a City park. All distances shall be measured in a straight line from the point on the parcel boundary of the proposed tobacco retailer location nearest to the subject use (i.e. existing tobacco retailer, school, or park) to the nearest point on the parcel boundary of the subject use. Notwithstanding the foregoing, a tobacco retailer license may be issued for use of a location for which a tobacco retailer license was in effect prior to September 16, 2016 and may be renewed thereafter unless it expires due to non-renewal or is revoked in accordance with section 4-90.070 of this Code, and within ninety days of the date of the application for the new tobacco retailer license. (c) Pharmacies. No retailer permit may be issued to authorize retailing activities at any location where the profession of pharmacy is practiced by a pharmacist licensed by the State of California in accordance with the Business and Professions Code and where prescription drugs are offered for sale regardless of whether other retail goods in addition to prescription pharmaceuticals are offered for sale. (cc) Display of license.Each tobacco retailer license shall be prominently displayed in a publicly visible place at the licensed location. (de) License nontransferable.A tobacco retailer license may not be transferred from one person to another or from one location to another. Whenever a new person obtains possession of a ten percent or greater interest in the stock, assets, or income of a business (other than a security interest for the repayment of debt) for which a tobacco retailer license has been issued, a new license shall be required. 81 (ef) False and misleading advertising prohibited.A retailer either without a valid tobacco retailer license or with a suspended license shall not display any tobacco products, paraphernalia, or electronic smoking devices nor display any advertisement that promotes the sale or distribution of such products from the retailer's location or that could lead a reasonable consumer to believe that tobacco products, paraphernalia, or electronic smoking devices can be obtained at that location. (fg) Minimum age for purchase.No retailer shall sell, give, or otherwise transfer tobacco product, paraphernalia, or electronic smoking devices to a person under the minimum age for purchase as set by State law. (gh) Positive identification required.No retailer shall sell, give, or otherwise transfer tobacco product, paraphernalia, or electronic smoking devices to another person who appears to be under thirty years of age without first examining the customer's identification to confirm that the customer is at least the minimum age for purchase as set by State law. (hi) Minimum age for engaging in tobacco sales.No retailer may allow a person under the minimum age for purchase as set by State law of tobacco products to sell, give, or otherwise transfer to customers tobacco product, paraphernalia, or electronic smoking devices. (ij) Limitation on storefront advertising.Storefront advertising shall comply with Article 15- 30 of this Code and all advertising and signage shall be placed and maintained in a manner that ensures that law enforcement personnel have a clear and unobstructed view of the interior of the premises, including the area in which the cash registers are maintained, from the exterior public sidewalk or entrance to the establishment. However, this shall not apply to an establishment where there are no windows or where existing windows are located at a height that preclude view of the interior of the premises by a person standing outside the premises. (jk) Vending machines prohibited.No tobacco product, paraphernalia, or electronic smoking device shall be sold, offered for sale, or distributed to the public from a vending machine or appliance, or any other coin- or token-operated mechanical device designed or used for vending purposes, including, but not limited to, machines or devices that use remote control locking mechanisms. (kl) Self-service displays prohibited.No tobacco product, paraphernalia, or electronic smoking device shall be sold, offered for sale, or distributed to the public from a self-service display. (m)Flavored tobacco products prohibited. No flavored tobacco product shall be sold, offered for sale, or possessed with intent to sell or offer for sale. (ln) Limited, conditional privilege.Nothing in this Article shall be construed to grant any person obtaining and maintaining a tobacco retailer license any status or right other than the limited, conditional privilege to act as a retailer at the location in the City identified on the face of the license. 4-90.045 - Application procedure. (a) All applications for a tobacco retailer license shall be submitted to the Director of Finance and Administrative Services on a form supplied by the City of Saratoga. (b) Any person holding a tobacco retailer license shall inform the City in writing of any change in the information submitted on an application for such license within fourteen calendar days of a change. (c) All information specified in an application shall be subject to disclosure under the California Public Records Act or any other applicable law. 82 (d) It is the responsibility of each retailer to be informed of all laws applicable to retailing, including those laws affecting the issuance of a tobacco retailer license. No retailer may rely on the issuance of a tobacco retailer license as a determination by the City that the retailer has complied with all laws applicable to retailing. A tobacco retailer license issued contrary to this Article, to any other law, or on the basis of false or misleading information supplied by a retailer shall be revoked. 4-90.050 - Issuance of license. (a) Upon receipt of a complete application for a tobacco retailer license and the application and license fees, the City Director of Finance and Administrative Services shall issue a license, unless substantial evidence demonstrates that one or more of the following bases for denial exist: (1) The information presented in the application is inaccurate or false. (2) The application seeks authorization for retailing by a person to whom this Article prohibits issuance of a tobacco retailer license. (3) The application seeks authorization for retailing at a location or in some other manner that is prohibited pursuant to this Article or that is unlawful pursuant to any other law. (b) A tobacco retailer license shall be revoked if the City Director of Finance and Administrative Services finds that one or more of the bases for denial of a license under this section existed at the time the application was made or at any time before the license was issued. Such a revocation shall be without prejudice to the filing of a new license application. (c) A decision to deny issuance of a tobacco retailer license or to revoke such a license that has been wrongly issued may be appealed pursuant to Section 4-90.100 of this Article. 4-90.060 - License term, renewal, expiration, and fees. (a) Term of license.The term of a tobacco retailer license is one year. A license is invalid thirty days after the expiration date of the license. (b) Renewal of license.The City Director of Finance and Administrative Services shall renew a valid tobacco retailer license upon timely payment of the annual license fee. A license may not be renewed more than ninety days after its expiration. (c) Issuance of license after revocation or expiration of license.To apply for a new tobacco retailer license more than ninety days after expiration of a tobacco retailer license or following revocation of a tobacco retailer license that was wrongly issued, a retailer must submit a complete application for a license, along with the application fee and annual license fee. (d) Fee for new licenses and renewals.The fees to apply for and issue or renew a tobacco retailer license shall be established from time to time by resolution of the City Council. The fees shall be calculated so as to recover any amount up to the cost of administration of this Article, including, for example, issuing a license, administering the program, and monitoring compliance. Fees shall not exceed the cost of the program authorized by this Article. Fees are nonrefundable except as may be required by law. A retailer license may not be issued or renewed until full payment of any applicable fees is made. 4-90.070 - Enforcement. (a) Any peace officer may enforce the penal provisions of this Article. The City Manager may designate any number of additional persons to monitor compliance with this Article. 83 (b) The City shall not enforce any law establishing a minimum age for tobacco product, paraphernalia, or electronic smoking device purchases against a person who otherwise might be in violation of such law because of the person's age if the violation occurs when: (1) The purchaser (hereinafter referred to as "youth decoy") is participating in a compliance check supervised by a peace officer or designated official of the City; (2) The youth decoy is acting as an agent of a person designated by the City to monitor compliance with this Article; or (3) The youth decoy is participating in a compliance check funded in part, either directly or independently through subcontracting, by the County or the State of California. (c) Any violation of this Article is hereby declared to be a public nuisance. (d) Causing, permitting, aiding, abetting, or concealing a violation of any provision of this Article shall also constitute a violation of this Article. (e) For purpose of this Article, each day on which a tobacco product, paraphernalia, or electronic smoking device is offered for sale in violation of this Article constitutes a separate violation. (f) Violations of this Article shall be subject to issuance of administrative citations pursuant to Article 3-30 and suspended from holding or receiving a tobacco retailer license as follows: (1) First citation within one year 24 months.For up to thirty sixty calendar days from the date of violation of the administrative citation issuance, no tobacco retailer license shall be issued and any existing license shall be suspended. (2) Second or subsequent citations within one year 24 months.For up to one year 24 months from the date of violation of the administrative citation issuance, no tobacco retailer license shall be issued and any existing license shall be revoked. (g) Notwithstanding any other provisions of this Article, prior violations of this Article at a location shall continue to be counted against a location and license ineligibility and suspension periods shall continue to apply to a location unless: (1) One hundred percent of the interest in the stock, assets, or income of the business, other than security interest for the repayment of debt, has been transferred to one or more new owners; and (2) The City is provided clear and convincing evidence that the transfer was pursuant to an arm's length transaction in good faith between two or more informed and willing parties, neither of which is under any compulsion to participate in the transaction. A sale between relatives, related companies or partners, or a sale for which a significant purpose is to avoid the effect of the violations of this Article is not an arm's length transaction. 4-90.100 - Appeals. (a) Request for hearing.A decision to deny issuance of a tobacco retailer license or to revoke a tobacco retailer license that has been wrongly issued may be appealed to the City Manager, subject to the following requirements and procedures. (1) All appeals must be submitted in writing to the City Clerk no later than fifteen calendar days after receipt of notice of the appealed action. If such an appeal is made, it shall stay enforcement of the appealed action. (2) No later than fifteen calendar days after receipt of the appeal, the City Manager shall set an appeal hearing at the earliest practicable time. The City Clerk shall give notice of the hearing to the parties at least ten calendar days before the date of the hearing. (b) Conduct of hearing.Hearings pursuant to this Article shall be conducted pursuant to procedures adopted by the City Manager. Strict rules of evidence shall not apply. Any relevant 84 evidence may be admitted if it is the sort of evidence on which responsible persons are accustomed to rely on in the conduct of serious affairs. (c) City Manager's decision.All parties shall be given written notice of the City Manager's decision within fifteen business days of the hearing. The decision of the City Manager shall be supported by the weight of the evidence. The decision of the City Manager shall be final and shall not be subject to appeal to the City Council. (d) Appellant's failure to appear at hearing.Failure of the appellant to appear at a hearing shall be considered a withdrawal of the request for a hearing and the decision being appealed shall remain in effect. 1042582.1 85 86 Greater Bay Area 333 Hegenberger Rd, Suite 450 | Oakland, CA 94621 O: 510-982-3053 cainfo@Lung.org August 27, 2018 Saratoga City Council 13777 Fruitvale Ave Saratoga, CA 95070 Dear Saratoga City Council: On behalf of the American Lung Association in California, the leading public health organization fighting to reduce and prevent the harmful effects of tobacco use, I am writing to express our support for strong policies that provide consistent protections for youth in banning flavored tobacco. Each year in California, nearly 40,000 adults die from smoking-related causes and over 12,000 kids become new daily smokers. According to a 2012 Report of the U.S. Surgeon General, tobacco companies have a long history of using flavored products to entice new, younger customers. Eight out of ten youth smokers report that they initiated tobacco use with a flavored tobacco product, and the younger a person is the more likely they will be to use a flavored tobacco product. Despite the FDA’s 2009 ban on the sale of flavored cigarettes, the market for other types of flavored tobacco products such as cigars and e-cigarettes is growing rapidly. Additionally, menthol flavors were excluded from the FDA ban despite the evidence that menthol is also driving factor in tobacco initiation. Very little is known about the health effects of electronic cigarettes and of the aerosol that they release, or what the health consequences of them might be. There is no evidence that shows the aerosol emitted by e-cigarettes is safe for non-users to inhale. What we do know is that these products are especially enticing to youth, who have begun using them at alarming rates. E- cigarette use among middle and high school students is higher than that of traditional tobacco products. But effective policies to include electronic cigarettes in our tobacco control laws can curb that trend. We appreciate the effort your community of Saratoga has taken to protect youth and urge you to move forward and follow what other communities have done and adopt a ban of flavored tobacco products. Sincerely, Amanda Gutzwiller Advocacy Manager, Greater Bay Area 87 88 American Cancer Society Cancer Action Network 700 Main Street, Suite 102  Fairfield CA 94533  707.290.0003 September 28, 2018 The Honorable Mary-Lynne Bernald 13777 Fruitvale Avenue Saratoga, CA 95070 Dear Mayor Bernald and Members of the Saratoga City Council: The American Cancer Society Cancer Action Network (ACS CAN) is committed to protecting the health and well-being of the residents of Saratoga through evidence-based policy and legislative solutions designed to eliminate cancer as a major health problem. As such we are writing to ask that the City amend their tobacco retail license (TRL) to prohibit the sale of all flavored tobacco products, including menthol cigarettes. Tobacco remains the leading cause of preventable death in our country, and sadly, 95% of adult smokers begin before the age of 21. Of the 9 million youth currently living in our state, nearly 1.4 million of them will become smokers, and approximately 440,000 of those kids will die prematurely as a result of tobacco use. Tobacco retail licenses that include sufficient fees for enforcement and meaningful penalties for those who violate the conditions of the licenses are a proven way to help reduce youth access to tobacco products. Actions taken now at the local level can help to encourage a generation of tobacco-free kids—potentially saving them from a lifetime of addiction and the deadly consequences of tobacco use. Both opponents of smoking and purveyors of cigarettes have long recognized the significance of adolescence as the period during which smoking behaviors are typically developed. Adolescents are still going through critical periods of brain growth and development and are especially vulnerable to the toxic effects of nicotine. A new study published in the journal, Pediatrics, found that the earlier youth are exposed to nicotine, the less likely they will be able to quit. Tobacco companies have a long history of marketing to vulnerable populations, including youth, and target youth with imagery and flavors preferred by young people. For decades, the tobacco industry has worked to devise ways to get youth to start smoking, and they are well aware that a key way to lure youth is to mask the taste of tobacco with sweet flavors. Tobacco industry internal documents uncovered during litigation show that manufacturers have long regarded flavored tobacco as a starter product, from which teen experimenters will graduate to adult brands. Additionally, communities of color have been specifically targeted with menthol marketing. 89 American Cancer Society Cancer Action Network 700 Main Street, Suite 102  Fairfield CA 94533  707.290.0003 While cigarette smoking has declined in the U.S., in recent years, sales of menthol cigarettes have steadily increased, especially among young people and new smokers. Menthol’s cool flavor and anesthetizing effects help to mask the harshness of tobacco, making it more appealing to beginning smokers. Prohibiting the sale of flavored tobacco products can help to keep kids from ever starting to smoke, and can encourage those who do smoke to quit. Similarly, in recent years, adult cigar use has declined, while cigar use by young men and teenage boys has continued to increase. It is not coincidental that little cigars, many of which are flavored, are available in small packs that are sold in packs of three of five for $1.00. These inexpensive flavored products appeal to young people and make it easy to experiment with a product that is both addictive and deadly. Prohibiting the sale of flavored products, including menthol, is not only a health issue; it is also a social justice issue. Targeted marketing to communities of color, low income communities and LGBTQ communities adds to the health disparities in populations already impacted by social inequities. In African American communities, the tobacco industry has aggressively marketed menthol flavored tobacco products to youth. Approximately 85% of African American smokers now smoke menthol cigarettes, and consequently, African American men have the highest death rates from lung cancer, when compared to other demographic groups. In addition to menthol being more appealing to beginning smokers, those who use menthol products demonstrate greater dependence, and are less likely to quit. Saratoga has demonstrated an interest in reducing youth access to tobacco products by establishing a TRL. ACS CAN encourages this council to take the next step in protecting youth, by amending the existing ordinance to prohibit the sale of all flavored tobacco products, including menthol cigarettes, as many California jurisdictions, including Santa Clara County, have already done. We all need to be working together to assure that our next generation is tobacco-free, as well as supporting those who are trying to quit. Sincerely, Cassie Ray Government Relations Director, Northern California American Cancer Society Cancer Action Network 90 SARATOGA CITY COUNCIL MEETING DATE:October 3, 2018 DEPARTMENT:City Manager’s Office PREPARED BY:Crystal Bothelio, Deputy City Manager SUBJECT:City Land and Facility Naming Policy RECOMMENDED ACTION: Adopt the resolution amending the City of Saratoga’s Policy for Naming City-Owned Land and Facilities. BACKGROUND: As part of Council consideration of a facility naming proposal at the May 2, 2018 City Council Meeting, the City Council agreed to schedule future discussion of the criteria in the City’s naming policy for City-owned land and facilities. While the City Council approved the proposal, the consensus of the City Council was that the proposal did not align with the criteria outlined in the policy. Consequently, staff prepared an updated resolution that would amend the policy to allow the public to propose naming or renaming City-owned land and facilities after a past elected or appointed official. Additionally, staff has recommended a number of clarifying updates and added wording specifying the process local non-profits will use when recommending names or new names as part of a City Council approved fundraising plan. About the Policy for Naming City-Owned Land and Facilities The Facility Naming Policy, established in 2008, defines the criteria and procedures for the public to suggest a name or renaming of City-owned land and facilities, not including City streets. The policy applies to City land and facilities in their entirety and also portions of City land or facilities, such as a room or field. The City Council retains full discretion for naming or renaming City lands or facilities and is not subject to this policy. The City Council may name or rename a City land or facility, or portion of City land or facility, at any time and may reject proposals from the public. Applications that meet criteria in the policy to name or rename City land or facilities will be forwarded to the Mayor to determine an appropriate City Commission to review the application 91 and make a recommendation to the City Council. The recommendation will then be brought to the City Council for final decision. The policy also outlines how a non-profit using a City facility or land may offer naming and renaming opportunities to bolster fundraising efforts. City Council approval of a fundraising plan is required before naming rights may be offered to potential donors. Additionally, City Council approval is required before City land or facilities are named. ATTACHMENTS: Attachment A – Resolution Amending the City Land and Facility Naming Policy Attachment B – Current City Land and Facility Naming Policy 92 RESOLUTION NO. 18-__ RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SARATOGA AMENDING THE POLICY ON NAMING CITY-OWNED LAND AND FACILITIES WHEREAS, the City Council of the City of Saratoga adopted the Policy on Naming City- Owned Land and Facilities on February 20, 2008 via Resolution 08-009 and amended through Resolution 16-005; and WHEREAS, the City Council adopted the policy to establish criteria and procedures for the naming and renaming of City-owned land, facilities and portion of facilities (e.g. rooms, fields, etc.); and WHEREAS, the policy pertains to all City-owned lands, facilities and portions of facilities with the exception of City streets, which is managed by the City’s Community Development Department under a separate set of policies and procedures; and WHEREAS, the City Council wishes to amend the policy to clarify policy criteria and requirements; and NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Saratoga does hereby adopt the amended the policy pertaining to Naming City-Owned Land and Facilities (attached), which shall herein supersede all previous policies and understandings related to Naming City-Owned Land and Facilities. The above and foregoing resolution was passed and adopted at a regular meeting of the Saratoga City Council held on the 3rd day of October 2018 by the following vote: AYES: NOES: ABSENT: ABSTAIN: Mary-Lynne Bernald, Mayor ATTEST: DATE: Debbie Bretschneider, Interim City Clerk 93 Adopted Via Resolution 18-__, October 3, 2018 CITY OF SARATOGA POLICY ON NAMING CITY-OWNED LAND AND FACILITIES I.PURPOSE The intent of this policy is to establish criteria and procedures for the public to recommend names naming and renaming of City-owned land and facilities. II.OVERVIEW 1. This policy provides a mechanism for citizens residents and community groups to suggest names they believe should be considered for new City facilities, lands and/or portions of facilities (e.g. rooms, fields, etc.) and for the renaming of existing facilities, lands and/or portions of facilities (e.g. rooms, fields, etc.). 2. This policy pertains to all City-owned lands and facilities with the exception of City streets. The naming of streets is managed by the City’s Community Development Department under a separate set of policies and procedures. III.GENERAL POLICIES 1. The City Council shall have the authority to deny any name or renaming recommendations and may name and rename City-owned lands and facilities at its discretion. Furthermore, the City Council is not subject to the policies or criteria outlined in this policy NOTE:The City has a separate “Tree and Bench Dedication” Program. Information about this program can be found on the City’s website at http://www.saratoga.ca.us/pdf/treebenchapplication1.pdf, or by contacting the City Clerk. 2. The donation of land(s), facility(ies), or funds for the acquisition, renovation or maintenance of land(s) or facilities, shall not constitute an obligation by the City to name the land(s) and/or facility(ies) or any portion thereof after an individual, family or organization. 3. The cost of plaques, monuments and/or replacement of signs resulting from naming or renaming of City-owned facilities, lands and/or portions of facilities will be borne by the individual, group or organization sponsoring the request. An exception to this policy may be made by the City Council in the case of economic hardship and if there are City funds available to cover the costs. IV.NAMING CRITERIA 1. The following criteria shall should be used in selecting developing a recommended an appropriate name for City-owned lands and facilities: a. The name should, if possible, include or preserve the geographic, environmental (relating to natural or physical features), historic or landmark connotation of particular significance to the area in which the land or facility is located, or for the City as a whole. Either connotation is equally valid. b. C Special consideration may be given to naming a City-owned land or facility after recommended names in honor of an individual, family or organization that:the land, facility, or the money for its purchase, construction, renovation or maintenance was donated by the individual, family or organization. 94 Adopted Via Resolution 18-__, October 3, 2018 1) Donated money for purchase, construction, renovation or maintenance; and/or 2) Provided major and lasting services or in-kind contributions to the purchase, planning, development, renovation, or maintenance c. A local non-profit organization operating City-owned land or facilities may offer naming rights to major donor(s) as enticement to receive capital project contributions upon City Council approval of a fundraising plan. The proposed name of City-owned land or facilities shall be taken to City Council for approval. d. Consideration may also be given to naming a City-owned land or facility after an individual, family or organization when warranted by some in-kind contribution or service which is deemed to be of major and lasting significance to the purchase of the piece of land, facility, or the planning, development, construction, renovation or maintenance of a facility. e. City-owned land(s) and/or park(s) may be named for benefactor organizations, groups or businesses. f.City-owned land(s) or facility(ies) may not be named after a seated elected or appointed official. They may be named for g. City-owned land(s) or facility(ies) may be named after an employee, or former employee of the City of Saratoga if three (3) or more of the following criteria are met: c. City-owned land(s) and/or facilities may be named for a past elected or appointed City of Saratoga official or after an existing or former City of Saratoga employee if three (3) or more of the following criteria are met: The employee’s individual’s contributions were over and above the normal duties required by his/her position job; The employee individual had a positive impact on the past and future development of the City of Saratoga, including programs or facilities in the City of Saratoga; The employee individual made significant volunteer contributions to the community outside the scope of his/her position job; The employee individual had exceptionally long tenure with the City of Saratoga (i.e. over 25 years); There is significant public support for a memorial to the employee individual on the occasion of his/her death or retirement. V.POLICY & CRITERIA REGARDING RENAMING 1. Existing place names are deemed to have historic recognition. City policy is to retain the name of any existing land(s) and/or facility(ies) particularly when the name has City or regional significance. The However, the City Council may consider renaming recommendations the facility that meet the above criteria. if there are compelling reasons to do so, including, but not limited to when a facility has reached the end of its normal lifespan. a. A local non-profit organization operating City-owned land or facilities may offer naming rights to major donor(s) as enticement to receive capital project contributions upon City Council approval of a fundraising plan. The proposed name of City-owned land or facilities shall be taken to City Council for approval. 2. The following criteria shall be used in renaming City-owned lands and facilities: a. The individual, family or organization has made lasting and significant contributions to the protection of natural or cultural resources of the City; or b. The individual, family or organization has made substantial contributions to the betterment of a specific facility or park consistent with the established standards for the facility; or 95 Adopted Via Resolution 18-__, October 3, 2018 c. The individual, family or organization has made substantial contributions to the advancement of commensurate types of recreational opportunities within the City. VI.PROCEDURE FOR NAMING & RENAMING OF CITY-OWNED LAND(S) OR FACILITY(IES) 1. A request to name or rename a City-owned land or facility shall be made in writing on the standard application form attached to this policy. 2. The application will be reviewed for completeness by the City Manager or his/her designee staff in the City’s Recreation (and Facilities) Department and forwarded to the Mayor. 3. The Mayor will designate an appropriate City Commission to review the application and make a recommendation to the City Council. 4. The City Council shall have final approval of naming and renaming recommendations. VII.NAMING & RENAMING CITY-OWNED LAND(S) AND FACILITY(IES) LEASED BY A NON-PROFIT 1.A Saratoga-based non-profit using City-owned land or facilities may offer naming rights to major donor(s) as recognition for contributions towards improving the land or facilities used by the non-profit. 2.Before naming rights are offered to prospective donors, the non-profit must receive City Council approval of a fundraising plan that describes naming opportunities to be offered, including the land or facilities, including portions of either land or facilities, that will be made available for naming and the desired donation levels for the various naming opportunities. 3.Proposed names are not subject to the criteria outlined in Section IV and V of this policy. 4.Proposed names will be presented to the City Council for approval and are not subject to the procedures outlined in Section VI of this policy. 96 CITY OF SARATOGA APPLICATION FOR NAMING OR RENAMING CITY-OWNED LAND(S) OR FACILITY(IES) Applicant’s Contact Information: Name: Address: E-mail: Phone: Naming/ Renaming Information for City-Owned Land or Facility: Suggested Name: Location of Site or Facility: Is the proposed name for only a portion of the site or facility? Yes  No If yes, please indicate portion suggested for naming/ renaming: To name or rename a City-owned site or facility, certain criteria must be met. Please indicate below which criteria will be met for the proposed name (please check all that apply): The name preserves the geographic, environmental (relating to natural or physical features), historic or landmark connotation of particular significance to the area in which the land or facility is located, or for the City as a whole. The name is in honor of an individual, family, or organization that donated money for the purchase, construction, renovation, or maintenance and/or provided major and lasting services or in-kind contributions to the purchase, planning, development, renovation, or maintenance of the of the land and/or facility. The name recognizes a past elected or appointed official or a current or former employee who has: (check at least 3 criteria below) Made contributions over and above the normal duties required by his/her position; Had a positive impact on the past and future development of the City of Saratoga, including programs or facilities; Made significant volunteer contributions to the community outside the scope of his/her position; Had exceptionally long tenure with the City of Saratoga; Significant public support for a memorial to the past elected or appointed official or employee on the occasion of his/her death or retirement. 97 Please provide a detailed explanation that supports the criteria for which you are requesting naming or renaming (please attach additional pages as needed to provide a thorough response): PLEASE NOTE: The cost of plaques, monuments and/or replacement of signs resulting from naming or renaming of City- owned facilities, lands and/or portions of facilities will be borne by the individual, group or organization sponsoring the request. An exception to this policy may be made by the City Council in the case of economic hardship and if there are City funds available to cover the costs. City of Saratoga Use Only: Date Received:_____________________________ Date Scheduled for Review by Commission:_____________________________ 1042202.2 98 99 Adopted Via Resolution 16-005, January 20, 2016 NAMING CITY-OWNED LAND AND FACILITIES I. PURPOSE The intent of this policy is to establish criteria and procedures for the naming and renaming of City-owned land and facilities. II. OVERVIEW 1. This policy provides a mechanism for citizens to suggest names they believe should be considered for new City facilities, lands and/or portions of facilities (e.g. rooms, fields, etc.) and for the renaming of existing facilities, lands and/or portions of facilities (e.g. rooms, fields, etc.). 2. This policy pertains to all City-owned lands and facilities with the exception of City streets. The naming of streets is managed by the City’s Community Development Department under a separate set of policies and procedures. III. GENERAL POLICIES 1. The City Council shall have the authority to name and rename City-owned lands and facilities. NOTE: The City has a separate “Tree and Bench Dedication” Program. Information about this program can be found on the City’s website at http://www.saratoga.ca.us/pdf/treebenchapplication1.pdf, or by contacting the City Clerk. 2. The donation of land(s), facility(ies), or funds for the acquisition, renovation or maintenan ce of land(s) or facilities, shall not constitute an obligation by the City to name the land(s) and/or facility(ies) or any portion thereof after an individual, family or organization. 3. The cost of plaques, monuments and/or replacement of signs resulting from naming or renaming of City-owned facilities, lands and/or portions of facilities will be borne by the individual, group or organization sponsoring the request. An exception to this policy may be made by the City Council in the case of economic hardship and if there are City funds available to cover the costs. IV. NAMING CRITERIA 1. The following criteria shall be used in selecting an appropriate name for City-owned lands and facilities: a. The name should, if possible, include or preserve the geographic, environmental (relating to natural or physical features), historic or landmark connotation of particular significance to the area in which the land or facility is located, or for the City as a whole. Either connotation is equally valid. b. Consideration may be given to naming a City-owned land or facility after an individual, family or organization when the land, facility, or the money for its purchase, construction, renovation or maintenance was donated by the individual, family or organization. c. A local non-profit organization operating City-owned land or facilities may offer naming rights to major donor(s) as enticement to receive capital project contributions upon City 100 Adopted Via Resolution 16-005, January 20, 2016 Council approval of a fundraising plan. The proposed name of City-owned land or facilities shall be taken to City Council for approval. d. Consideration may also be given to naming a City-owned land or facility after an individual, family or organization when warranted by some in-kind contribution or service which is deemed to be of major and lasting significance to the purchase of the piece of land, facility, or the planning, development, construction, renovation or maintenance of a facility. e. City-owned land(s) and/or park(s) may be named for benefactor organizations, groups or businesses. f. City-owned land(s) or facility(ies) may not be named after a seated elected or appointed official. g. City-owned land(s) or facility(ies) may be named after an employee, or former employee of the City of Saratoga if three (3) or more of the following criteria are met: The employee’s contributions were over and above the normal duties required by his/her job; The employee had a positive impact on the past and future development of programs or facilities in the City of Saratoga; The employee made significant volunteer contributions to the community outside the scope of his/her job; The employee had exceptionally long tenure with the City of Saratoga (i.e. over 25 years); There is significant public support for a memorial to the employee on the occasion of his/her death or retirement. V. POLICY & CRITERIA REGARDING RENAMING 1. Existing place names are deemed to have historic recognition. City policy is to retain the name of any existing land(s) and/or facility(ies) particularly when the name has City or regional significance. The City Council may consider renaming the facility if there are compelling reasons to do so, including, but not limited to when a facility has reached the end of its normal lifespan. a. A local non-profit organization operating City-owned land or facilities may offer naming rights to major donor(s) as enticement to receive capital project contributions upon City Council approval of a fundraising plan. The proposed name of City-owned land or facilities shall be taken to City Council for approval. 2. The following criteria shall be used in renaming City-owned lands and facilities: a. The individual, family or organization has made lasting and significant contributions to the protection of natural or cultural resources of the City; or b. The individual, family or organization has made substantial contributions to the betterment of a specific facility or park consistent with the established standards for the facility; or c. The individual, family or organization has made substantial contributions to the advancement of commensurate types of recreational opportunities within the City. VI. PROCEDURE FOR NAMING & RENAMING OF CITY-OWNED LAND(S) OR FACILITY(IES) 1. A request to name or rename a City-owned land or facility shall be made in writing on the standard application form attached to this policy. 101 Adopted Via Resolution 16-005, January 20, 2016 2. The application will be reviewed for completeness by staff in the City’s Recreation (and Facilities) Department and forwarded to the Mayor. 3. The Mayor will designate an appropriate City Commission to review the application and make a recommendation to the City Council. 4. The City Council shall have final approval of naming and renaming recommendations. 102 Adopted Via Resolution 16-005, January 20, 2016 CITY OF SARATOGA APPLICATION FOR NAMING OR RENAMING CITY-OWNED LAND(S) OR FACILITY(IES) Applicant’s Contact Information: Name: Address: E-mail: Phone: Naming/ Renaming Information for City-owned Land or Facility: Suggested Name: Location of Site or Facility: Is the proposed name for only a portion of the site or facility? Yes No If yes, please indicate portion suggested for naming/ renaming: To name or rename a City-owned site or facility, certain criteria must be met. Please indicate below which criteria will be met for the proposed name: Sites or Facilities that DO NOT Currently Have a Name Criteria for naming (please check all that apply): The name preserves the geographic, environmental (relating to natural or physical features), historic or landmark connotation of particular significance to the area in which the land or facility is located, or for the City as a whole. The land, facility, or the money for its purchase, construction, renovation or maintenance was donated by the individual, family or organization. An in-kind contribution or service of major and lasting significance was made to the acquisition of the land, facility, or the planning, development, construction, renovation or maintenance of a facility. The name recognizes a benefactor organization, group or business that contributed to the site or facility. The name recognizes a current or former employee who has: (check at least 3 criteria below) Made contributions over and above the normal duties required by his/her job; Had a positive impact on the past and future development of programs or facilities in the City of Saratoga; 103 Adopted Via Resolution 16-005, January 20, 2016 Made significant volunteer contributions to the community outside the scope of his/her job; Had exceptionally long tenure with the City of Saratoga (i.e. over 25 years); Significant public support for a memorial to the employee on the occasion of his/her death or retirement. Sites or Facilities that Currently Have a Name Criteria for naming (please check all that apply): The individual, family or organization has made lasting and significant contributions to the protection of natural or cultural resources of the City. The individual, family or organization has made substantial contributions to the betterment of a specific facility or park consistent with the established standards for the facility. The individual, family or organization has made substantial contributions to the advancement of commensurate types of recreational opportunities within the City. For all facilities, please provide a detailed explanation that supports the criteria for which you are requesting naming or renaming of the site or facility for this individual, family or organization: (If needed, please attach additional pages in order to provide a thorough discussion of the merits of your request.) 104 Adopted Via Resolution 16-005, January 20, 2016 PLEASE NOTE: 1. The City Council may consider renaming a facility if there are compelling reasons to do so, including, but not limited to when a facility has reached the end of its normal lifespan. 2. The cost of plaques, monuments and/or replacement of signs resulting from naming or renaming of City-owned facilities, lands and/or portions of facilities will be borne by the individual, group or organization sponsoring the request. An exception to this policy may be made by the City Council in the case of economic hardship and if there are City funds available to cover the costs. City of Saratoga Use Only: Date Received: _____________________________ Date Scheduled for Review by Commission: _____________________________ 105