Cal. Code Regs. tit. 10 § 5101

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Section 5101 - General Provisions

The Political Reform Act of 1974 (Government Code section 81000, et seq.) requires state and local government agencies to adopt and promulgate conflict of interest codes. The Fair Political Practices Commission has adopted a regulation (Title 2 California Code of Regulations section 18730) which contains the terms of a standard conflict of interest code, which can be incorporated by reference in an agency's code. After public notice and hearing, it may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act. Therefore, the terms of Title 2 California Code of Regulations section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission are hereby incorporated by reference. These regulations and the attached Appendices, designating officials and employees and establishing disclosure categories, shall constitute the conflict of interest code of the Small Business Board and California Small Business Financial Development Corporations.

Designated persons identified in Appendix A shall file statements of economic interests with the Business, Transportation and Housing Agency. Upon receipt of the statements from the Small Business Board, the Agency shall promptly make and retain a copy and forward the originals of the statements to the Fair Political Practices Commission. Statements for the Small Business Financial Development Corporations positions will be retained by the Agency.

Appendix A

Designated Persons

Persons in the following positions are designated persons and shall make the designated types of disclosures set forth in the disclosure categories listed opposite the position. A detailed description of each disclosure category is set out in Appendix B.

Designated Positions	Disclosure Categories

Members of Small Business Board..........................	..........................1
Directors/Members of the Board of California Small Business Financial Development Corporations..........................	..........................2
Officers of California Small Business Financial Development Corporations..........................	..........................2
Loan Committee Members of California Small Business Financial Development Corporations..........................	..........................2
Consultants..........................	..........................*

Appendix B

Disclosure Categories

1. Income from, investments in, and management positions with entities, profit or nonprofit, which:

(A) Have received in the past two years, are in receipt of, have applied for, are in the process of applying for, or which the official knows are planning to apply for within the next 12 months equity financing, direct loan or guarantee of a loan by a California Small Business Financial Development Corporation.

(C) Are banks, savings and loans, or other financial institutions of the type which lends funds guaranteed pursuant to the California Small Business Financial Development Corporation Law.

2. Income from, investments in, and management positions with entities, profit or nonprofit, which:

(B) Have received in the last two years, have applied for, are in the process of applying for, or which the official knows are planning to apply for within the next 12 months a contract to be a subcontractor with the California Small Business Financial Development Corporation in which the official is a board member, officer, staff, or loan committee member.

(C) Acting as lender which have received, are in receipt of, have applied for, or which the official knows are planning to apply for within the next 12 months a guarantee of payment from the California Small Business Financial Development Corporation in which the official is a board member, officer, or loan committee member.

(D) Are banks, savings and loans, or other financial institution of the type which lends funds guaranteed pursuant to the California Small Business Financial Development Corporation Law.

__________

* Consultants shall be included in the list of designated employees and shall disclose pursuant to the broadest disclosure category in the code subject to the following limitation:

The reporting of economic interests for consultants shall be determined on a case-by-case basis by the Director or his or her designee. The Director or his or her designee will determine the reporting requirements in writing, based on the scope of the consultant's particular duties, assignments and/or deliverables (as defined in Title 2, California Code of Regulations, section 18700). The determination is a public record and shall be retained for public inspection in the same manner and location as this conflict of interest code.

Cal. Code Regs. Tit. 10, § 5101

1. New article (section 5101 and Appendix) filed 3-3-82; effective thirtieth day thereafter. Approved by Fair Political Practices Commission 1-4-82 (Register 82, No. 10)
2. Amendment of section heading and text filed 12-2-91; operative 1-2-92. Submitted to OAL for printing only (Register 92, No. 9).
3. Amendment of article 8 heading, section and Appendices A and B filed 8-30-2002; operative 9-29-2002. Approved by Fair Political Practices Commission 6-24-2002 (Register 2002, No. 35).
4. Amendment of section and Appendix B filed 12-27-2004 as a deemed emergency pursuant to Corporations Code section 14024; operative 12-27-2004 (Register 2004, No. 53). A Certificate of Compliance must be transmitted to OAL by 6-27-2005 or emergency language will be repealed by operation of law on the following day.
5. Editorial correction of HISTORY 4 (Register 2005, No. 27).
6. Reinstatement of section as it existed prior to 12-27-2004 emergency amendment by operation of Government Code section 11346.1(f) (Register 2005, No. 27).
7. Change without regulatory effect amending general provisions and Appendix B filed 2-11-2008 pursuant to section 100, title 1, California Code of Regulations (Register 2008, No. 7).

Note: Authority: Section 14022(b), Corporations Code. Reference: Sections 14020- 14026, and 14085- 14087, Corporations Code; and Section 87300 et seq., Government Code.