Officeholders
An officeholder is a City official who holds the elected position of Mayor, City Attorney, Controller, or City Council member.
REQUIREMENTS
Officeholders must create and maintain detailed records that are necessary to show that they have complied with the governmental ethics laws and the campaign finance laws. Records must be maintained for at least four years.
Officeholders are required to complete two types of training when they enter City service and every two years thereafter: 1) ethics training provided by the Ethics Commission, and 2) fraud awareness training provided through the Personnel Department.
Additional information about the mandatory ethics training found here.
There are five types of disclosure required of officeholders. Detailed filing requirements can be found under “What Do I File?”.
Statements of Economic Interests
Officeholders must disclose personal financial interests by periodically filing a statement of economic interests, which includes CA Form 700 (Statement of Economic Interests) and Form 60 (Restricted Source Financial Disclosure Statement). Officeholders are identified in California Government Code § 87200 and, as a result, must report all of their sources of income, investments, gifts, and real property interests.
City-related Business
When City action affects their financial interests, officeholders are required to file Form 44 (Statement of City-related Business). The financial interests that trigger reporting include real and personal property, a City contract, a grant, a loan, a forgiveness of debt, or an application for a license, certificate, permit, franchise, zone change, variance, credential, or other benefit. Form 44 must be filed with the Ethics Commission within 10 calendar days after City action affects one or more of these financial interests if held or sought by the officeholder, by the officeholder’s spouse or registered domestic partner, or by a business in which either the officeholder or the officeholder’s spouse or registered domestic partner holds an ownership interest of at least five percent.
Department Contracts
Officeholders are considered heads of departments for purposes of the contract laws. As a result, they are responsible for filing a Form 63 (Department Contract Quarterly Report) regarding all of their office’s active bidders, contractors, and procurement processes. Those reports are due by Those reports are due by April 30, July 31, October 31, and January 31 of each year. The reports are filed electronically through the Department Contract Filing System (DCFS), and each officeholder must submit Form 62 (Application for DCFS Login ID) to obtain a DCFS identification and password.
Committee Activity
Officeholders may create officeholder committees, through which they may solicit political contributions and make expenditures related to their duties as public officials. Like candidates, officeholders must periodically disclose the activities of their committees, including contributions and expenditures, by filing CA Form 460 (Recipient Committee Campaign Statement Long Form) through the Campaign Electronic Filing System (CEFS). They must also include specific disclaimer language on their officeholder communications and upload copies of their communications to CEFS.
Behested Payments
Officeholders are required to disclose payments that other persons make to third parties at the officeholder’s behest when those payments total at least $5,000 per person per calendar year. Behested payments are disclosed by filing CA Form 803 (Behested Payments) with the Ethics Commission.
LIMITATIONS
Conflicts of Interests
Officeholders are prohibited from participating in, making, or attempting to influence City decisions that could foreseeably affect their personal financial interests or the personal financial interests of their immediate family members. When such a conflict may exist, they must seek advice from the City Attorney’s office and may be required to recuse themselves from participating in the government decision. In addition to conflicts resulting from financial interests, the City Attorney’s office has the authority to decide that the public interest prevents an officeholder from acting on a matter, even if a financial interest is not affected.
Officeholders may not have a financial interest in a City contract if their City duties require them to participate in any way in the contract, from preliminary discussions to execution of the contract. If an officeholder has a financial interest in a contract and is a member of a board that acts on the contract, severe penalties can result for the board and the City—even if the officeholder recuses himself.
In the first 12 months of City service, officeholders are prohibited from knowingly participating in, making, or attempting to influence a City decision related to a contract if a party to the contract is a person by whom the officeholder was employed in the 12 months prior to entering City service.
Contributions & Expenditures
Officeholders and their officeholder committees may not solicit or receive contributions that exceed certain amounts per fiscal year. In addition, officeholders are limited in how much they can receive and spend in total through their officeholder committees.
Permissible expenditures by officeholder committees are specified by law and must relate to serving constituents and carrying out the duties associated with holding elected office. Certain expenditures are prohibited, including election-related expenditures, memberships in certain organizations, and additional salary payments to City employees. All contributions and expenditures must be periodically reported through the Campaign Electronic Filing System (CEFS).
Officeholders may also establish legal defense committees, to defray legal costs incurred in defending the officeholder in a court case or an administrative proceeding arising directly out of the conduct of a City election, the electoral process, or the performance of City duties. Officeholders may not solicit or accept contributions that exceed the per person limits, per fiscal year. They must also report all contributions and expenditures through CEFS.
Improper contributions may be cured under the Excess Contribution Policy.
Officeholder limits can be downloaded below:
Officeholder Limits
Gifts & Travel
Officeholders are prohibited from soliciting or accepting a gift if it is reasonably foreseeable that it could influence them in the performance of their City duties. In addition, they may not solicit or accept a gift of any value from a lobbyist or lobbying firm. Registered lobbyists, lobbyist employers, and lobbying firms can be searched and viewed through the Public Data Portal.
Officeholders are also prohibited from soliciting or accepting a gift or combination of gifts from a single source that, during a calendar year, exceeds $500. Gifts from a restricted source are more limited. Officeholders may never solicit a gift from a restricted source, and the value of all gifts received from a restricted source may not exceed $100 per calendar year.
Personal loans may be considered gifts, unless they are from a commercial lending institution and made in the lender’s regular course of business on terms available to the public, without regard to the officeholder’s City status. In addition to other restrictions on loans, officeholders are prohibited from receiving personal loans of more than $250 from their departments or a department over which their departments exercise control.
Generally, officeholders may not accept payments for travel or travel-related expenses from sources other than the City. They may never accept free or discounted travel from transportation companies. In addition, gifts of travel are limited in the same way as other gifts, which means they cannot be solicited or accepted from lobbyists and lobbying firms, cannot exceed $100 per year from a restricted source, and cannot exceed $500 per year from any other source. Limited exceptions may apply, depending on the source, the destination, and the purpose of the travel.
Form 700 and Form 60 all gifts received from a single source that total $50 or more. Gifts may be tracked with the Gift Journal. If the exact dollar amount of a gift is unknown, the fair market value must be reported.
Limited exceptions apply to the gift laws. In addition, under the Ticket Distribution & Disclosure Policy, tickets to certain types of events are not considered gifts if they are distributed by a City department and other procedural requirements are met.
Misuse of Position
Officeholders may not use their positions to create a private advantage or disadvantage for any person. In addition, they may not use or authorize the use of City resources for non-City purposes. They are also prohibited from misusing or disclosing confidential information acquired as a result of their City service.
Outside Employment
Officeholders are required to devote their entire time to the duties of their City offices, and they may not receive outside compensation. This includes a ban on honoraria.
Political Activity
Officeholders may not engage in political activity while on duty for the City or using City resources or facilities. They may not communicate in a manner that implies they are speaking on behalf of the City. They may not solicit campaign contributions from other City personnel, and they may not receive or deliver campaign contributions in City Hall or another City-owned space. Officeholders may not use or authorize the use of City facilities or resources for campaign activity.
Revolving Door
Officeholders are permanently prohibited from receiving compensation to attempt to influence City action on a matter in which the officeholder personally and substantially participated during City service. The ban lasts as long as the matter is pending with a City agency or the City is a party to the matter. The ban extends to advising or assisting someone else who attempts to influence action on the matter.
Officeholders are also subject to a one-year “cooling off” period, during which they are prohibited from receiving compensation to attempt to influence City action on any matter pending with any City department. This prohibition applies whether the officeholder personally participated in the matter or not.
Citywide officeholders may not negotiate future employment or business opportunities with a person (other than a government agency) who has a matter pending with them or their departments. City Council officeholders may not negotiate future employment or business opportunities with a person (other than a government agency) who has a matter pending with them or a body of which they are a voting member. In addition, all officeholders are prohibited from participating in or using their City positions to influence a decision involving the interests of a person with whom they are negotiating or have an agreement regarding future employment or business opportunities.
FREQUENTLY ASKED QUESTIONS
For questions regarding specific scenarios, please contact us prior to taking action.
What interests do I have to report on my statement of economic interests?
Your statement of economic interests includes two disclosure forms. On CA Form 700, you must report your and your spouse’s personal financial interests, including investments, business positions, real property interests, sources of income, gifts, and loans. On Form 60, you must report personal financial interests that are held by you or your immediate family members and are associated with a restricted source.
When do I have to file a statement of economic interests?
You must file a statement of economic interests (CA Form 700 and Form 60) within 30 days of starting a new City position, annually in the beginning of April while holding the position (covering activity for the prior calendar year), and within 30 days after leaving the position. If you have questions about your specific filing deadlines, please contact us.
I am running for reelection. Can I ask my City staff to work on my campaign?
Yes, but they may not do so on City time or using City facilities or resources.
I was termed out of my position as City Council member and decided not to pursue other City positions. Can I join a consulting firm that helps clients get City projects completed?
You may join a consulting firm after leaving City office, but your activity for that firm is limited. You may not attempt to influence the City regarding any matter in which you personally and substantially participated during City service, and you may not advise anyone else who might attempt to influence the matter. In addition, you are banned from attempting to influence any City matter for one year after you leave City service, whether you were personally involved in it or not. Finally, you are prohibited from receiving any benefit from a contract that you participated in creating while with the City.
Can an officeholder ask a City contractor to contribute to a holiday party for the officeholder’s staff?
No. A contractor is a restricted source, and officeholders may not solicit gifts from restricted sources.
Can a 501(c)(3) organization pay for an officeholder to attend a conference?
Yes, if the conference and travel payments are related to a legislative or governmental purpose or an issue of public policy. The officeholder may be required to recuse herself from participating in matters relating to the 501(c)(3) organization for the 12 months following the travel. In addition, the officeholder must report the travel on the next statement of economic interests. Travel from most other sources is a gift that may be prohibited or subject to an annual limit of either $100 or $500.
A lobbying firm invited me to attend a dinner that they are hosting for the American Diabetes Association. Can I attend?
No. You may not accept a gift of any value, including attendance at an event, from a City lobbying firm.
Can I open more than one officeholder committee?
No, you may only have one officeholder committee.
Officeholders must create and maintain detailed records that are necessary to show that they have complied with the governmental ethics laws and the campaign finance laws. Records must be maintained for at least four years.
Officeholders are required to complete two types of training when they enter City service and every two years thereafter: 1) ethics training provided by the Ethics Commission, and 2) fraud awareness training provided through the Personnel Department.
There are five types of disclosure required of officeholders. Detailed filing requirements can be found under “What Do I File?”.
Statements of Economic Interests
Officeholders must disclose personal financial interests by periodically filing a statement of economic interests, which includes CA Form 700 (Statement of Economic Interests) and Form 60 (Restricted Source Financial Disclosure Statement). Officeholders are identified in California Government Code § 87200 and, as a result, must report all of their sources of income, investments, gifts, and real property interests.
City-related Business
When City action affects their financial interests, officeholders are required to file Form 44 (Statement of City-related Business). The financial interests that trigger reporting include real and personal property, a City contract, a grant, a loan, a forgiveness of debt, or an application for a license, certificate, permit, franchise, zone change, variance, credential, or other benefit. Form 44 must be filed with the Ethics Commission within 10 calendar days after City action affects one or more of these financial interests if held or sought by the officeholder, by the officeholder’s spouse or registered domestic partner, or by a business in which either the officeholder or the officeholder’s spouse or registered domestic partner holds an ownership interest of at least five percent.
Department Contracts
Officeholders are considered heads of departments for purposes of the contract laws. As a result, they are responsible for filing a Form 63 (Department Contract Quarterly Report) regarding all of their office’s active bidders, contractors, and procurement processes. Those reports are due by Those reports are due by April 30, July 31, October 31, and January 31 of each year. The reports are filed electronically through the Department Contract Filing System (DCFS), and each officeholder must submit Form 62 (Application for DCFS Login ID) to obtain a DCFS identification and password.
Committee Activity
Officeholders may create officeholder committees, through which they may solicit political contributions and make expenditures related to their duties as public officials. Like candidates, officeholders must periodically disclose the activities of their committees, including contributions and expenditures, by filing CA Form 460 (Recipient Committee Campaign Statement Long Form) through the Campaign Electronic Filing System (CEFS). They must also include specific disclaimer language on their officeholder communications and upload copies of their communications to CEFS.
Behested Payments
Officeholders are required to disclose payments that other persons make to third parties at the officeholder’s behest when those payments total at least $5,000 per person per calendar year. Behested payments are disclosed by filing CA Form 803 (Behested Payments) with the Ethics Commission.
Conflicts of Interests
Officeholders are prohibited from participating in, making, or attempting to influence City decisions that could foreseeably affect their personal financial interests or the personal financial interests of their immediate family members. When such a conflict may exist, they must seek advice from the City Attorney’s office and may be required to recuse themselves from participating in the government decision. In addition to conflicts resulting from financial interests, the City Attorney’s office has the authority to decide that the public interest prevents an officeholder from acting on a matter, even if a financial interest is not affected.
Officeholders may not have a financial interest in a City contract if their City duties require them to participate in any way in the contract, from preliminary discussions to execution of the contract. If an officeholder has a financial interest in a contract and is a member of a board that acts on the contract, severe penalties can result for the board and the City—even if the officeholder recuses himself.
In the first 12 months of City service, officeholders are prohibited from knowingly participating in, making, or attempting to influence a City decision related to a contract if a party to the contract is a person by whom the officeholder was employed in the 12 months prior to entering City service.
Contributions & Expenditures
Officeholders and their officeholder committees may not solicit or receive contributions that exceed certain amounts per fiscal year. In addition, officeholders are limited in how much they can receive and spend in total through their officeholder committees.
Permissible expenditures by officeholder committees are specified by law and must relate to serving constituents and carrying out the duties associated with holding elected office. Certain expenditures are prohibited, including election-related expenditures, memberships in certain organizations, and additional salary payments to City employees. All contributions and expenditures must be periodically reported through the Campaign Electronic Filing System (CEFS).
Officeholders may also establish legal defense committees, to defray legal costs incurred in defending the officeholder in a court case or an administrative proceeding arising directly out of the conduct of a City election, the electoral process, or the performance of City duties. Officeholders may not solicit or accept contributions that exceed the per person limits, per fiscal year. They must also report all contributions and expenditures through CEFS.
Improper contributions may be cured under the Excess Contribution Policy.
Officeholder limits can be downloaded below:
Officeholder Limits
Gifts & Travel
Officeholders are prohibited from soliciting or accepting a gift if it is reasonably foreseeable that it could influence them in the performance of their City duties. In addition, they may not solicit or accept a gift of any value from a lobbyist or lobbying firm. Registered lobbyists, lobbyist employers, and lobbying firms can be searched and viewed through the Public Data Portal.
Officeholders are also prohibited from soliciting or accepting a gift or combination of gifts from a single source that, during a calendar year, exceeds $500. Gifts from a restricted source are more limited. Officeholders may never solicit a gift from a restricted source, and the value of all gifts received from a restricted source may not exceed $100 per calendar year.
Personal loans may be considered gifts, unless they are from a commercial lending institution and made in the lender’s regular course of business on terms available to the public, without regard to the officeholder’s City status. In addition to other restrictions on loans, officeholders are prohibited from receiving personal loans of more than $250 from their departments or a department over which their departments exercise control.
Generally, officeholders may not accept payments for travel or travel-related expenses from sources other than the City. They may never accept free or discounted travel from transportation companies. In addition, gifts of travel are limited in the same way as other gifts, which means they cannot be solicited or accepted from lobbyists and lobbying firms, cannot exceed $100 per year from a restricted source, and cannot exceed $500 per year from any other source. Limited exceptions may apply, depending on the source, the destination, and the purpose of the travel.
Form 700 and Form 60 all gifts received from a single source that total $50 or more. Gifts may be tracked with the Gift Journal. If the exact dollar amount of a gift is unknown, the fair market value must be reported.
Limited exceptions apply to the gift laws. In addition, under the Ticket Distribution & Disclosure Policy, tickets to certain types of events are not considered gifts if they are distributed by a City department and other procedural requirements are met.
Misuse of Position
Officeholders may not use their positions to create a private advantage or disadvantage for any person. In addition, they may not use or authorize the use of City resources for non-City purposes. They are also prohibited from misusing or disclosing confidential information acquired as a result of their City service.
Outside Employment
Officeholders are required to devote their entire time to the duties of their City offices, and they may not receive outside compensation. This includes a ban on honoraria.
Political Activity
Officeholders may not engage in political activity while on duty for the City or using City resources or facilities. They may not communicate in a manner that implies they are speaking on behalf of the City. They may not solicit campaign contributions from other City personnel, and they may not receive or deliver campaign contributions in City Hall or another City-owned space. Officeholders may not use or authorize the use of City facilities or resources for campaign activity.
Revolving Door
Officeholders are permanently prohibited from receiving compensation to attempt to influence City action on a matter in which the officeholder personally and substantially participated during City service. The ban lasts as long as the matter is pending with a City agency or the City is a party to the matter. The ban extends to advising or assisting someone else who attempts to influence action on the matter.
Officeholders are also subject to a one-year “cooling off” period, during which they are prohibited from receiving compensation to attempt to influence City action on any matter pending with any City department. This prohibition applies whether the officeholder personally participated in the matter or not.
Citywide officeholders may not negotiate future employment or business opportunities with a person (other than a government agency) who has a matter pending with them or their departments. City Council officeholders may not negotiate future employment or business opportunities with a person (other than a government agency) who has a matter pending with them or a body of which they are a voting member. In addition, all officeholders are prohibited from participating in or using their City positions to influence a decision involving the interests of a person with whom they are negotiating or have an agreement regarding future employment or business opportunities.
For questions regarding specific scenarios, please contact us prior to taking action.
What interests do I have to report on my statement of economic interests?
Your statement of economic interests includes two disclosure forms. On CA Form 700, you must report your and your spouse’s personal financial interests, including investments, business positions, real property interests, sources of income, gifts, and loans. On Form 60, you must report personal financial interests that are held by you or your immediate family members and are associated with a restricted source.
When do I have to file a statement of economic interests?
You must file a statement of economic interests (CA Form 700 and Form 60) within 30 days of starting a new City position, annually in the beginning of April while holding the position (covering activity for the prior calendar year), and within 30 days after leaving the position. If you have questions about your specific filing deadlines, please contact us.
I am running for reelection. Can I ask my City staff to work on my campaign?
Yes, but they may not do so on City time or using City facilities or resources.
I was termed out of my position as City Council member and decided not to pursue other City positions. Can I join a consulting firm that helps clients get City projects completed?
You may join a consulting firm after leaving City office, but your activity for that firm is limited. You may not attempt to influence the City regarding any matter in which you personally and substantially participated during City service, and you may not advise anyone else who might attempt to influence the matter. In addition, you are banned from attempting to influence any City matter for one year after you leave City service, whether you were personally involved in it or not. Finally, you are prohibited from receiving any benefit from a contract that you participated in creating while with the City.
Can an officeholder ask a City contractor to contribute to a holiday party for the officeholder’s staff?
No. A contractor is a restricted source, and officeholders may not solicit gifts from restricted sources.
Can a 501(c)(3) organization pay for an officeholder to attend a conference?
Yes, if the conference and travel payments are related to a legislative or governmental purpose or an issue of public policy. The officeholder may be required to recuse herself from participating in matters relating to the 501(c)(3) organization for the 12 months following the travel. In addition, the officeholder must report the travel on the next statement of economic interests. Travel from most other sources is a gift that may be prohibited or subject to an annual limit of either $100 or $500.
A lobbying firm invited me to attend a dinner that they are hosting for the American Diabetes Association. Can I attend?
No. You may not accept a gift of any value, including attendance at an event, from a City lobbying firm.
Can I open more than one officeholder committee?
No, you may only have one officeholder committee.
