APPENDIX II

CONFLICT OF INTEREST CODE PROVISIONS

As Proposed by the California Public Utilities Commission as of July, 2003.

The Political Reform Act, Government Code Sections 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, 2 California Code of Regulations Section 18730, which contains the terms of a standard Conflict of Interest Code, which can be incorporated by reference, and which may be amended by the Fair Political Practices Commission to conform to amendments in the Political Reform Act after public notice and hearings. Therefore, the terms of 2 California Code of Regulations Section 18730 and any amendments to it duly adopted by the Fair Political Practices Commission, along with the attached Appendix in which officials and employees are designated and disclosure categories are set forth, are hereby incorporated by reference and constitute the proposed Conflict of Interest Code of the Public Utilities Commission.

Appendix

Designated employees shall file statements of economic interests with the agency.

(a) Designated Positions

The following are "designated employees" and the applicable disclosure categories:

Designated Employees Applicable Disclosure Categories

Accounting Administrator I (Supervisor) 2, 3

Administrative Assistant I 2, 3

Administrative Assistant II 2, 3

Administrative Law Judge I 15

Administrative Law Judge II 15

Assistant Chief ALJ 2, 3, 15

Assistant Chief PU Counsel 2, 3, 15

Assistant Info Systems Analyst 2, 3

Associate Budget Analyst 2, 3

Associate Governmental Program Analyst 2, 3, 15

Associate Info Systems Analyst (Spec) 3

Associate Info Systems Analyst (Supv) 3

Associate Management Analyst 2, 3

Associate Personnel Analyst 2, 3

Associate Programmer Analyst (Spec & Supv) 3

Associate Transportation Representative 15

Business Services Officer I (Spec) 2, 3

Business Services Officer I (Supv) 2, 3

Business Services Officer II (Supv) 2, 3

CEA Level 1 2, 3, 15

CEA Level 2 2, 3, 15

CEA Level 3 2, 3, 15

CEA Level 4 2, 3, 15

Chief Administrative Law Judge 1

Chief Hearing Reporter 2, 3

Computer Operator 3

Computer Operator C 3

Consumer Affairs Representative 15

Consumer Services Manager 15

Consumer Services Supervisor 15

Data Processing Manager I 3

Data Processing Manager II 3

Data Processing Manager III 3

Graduate Legal Assistant 15

Information Officer I (Specialist) 15

Information Officer I (Supervisor) 15

Information Officer II 15

Information Officer III CEA 15

Information Systems Technician C 3

Information Systems Technician Supv I 3

Information Systems Technician Supv II 3

Labor Relations Specialist 2, 3

Legal Counsel A 15

Legal Counsel B 15

Management Services Technician B 2, 3

Personnel Selection Consultant I 2, 3

Personnel Specialist 2, 3

Personnel Services Specialist I 2, 3

Personnel Services Specialist II 2, 3

Personnel Supervisor I 2, 3

Principal PU Financial Examiner 15

Principal Transportation Division 2, 3, 15

Printing Trades Supervisor I (General) 2, 3

Program and Project Supervisor 2, 3, 15

Program Manager 2, 3, 15

Program Technician III 2, 3, 15

Public Utilities Counsel I, PUC 15

Public Utilities Counsel II, PUC 15

Public Utilities Counsel III, PUC 15

Public Utilities Counsel IV, PUC 15

Public Utilities Regulatory Analyst I A 15

Public Utilities Regulatory Analyst I B 15

Public Utilities Regulatory Analyst I C 15

Public Utilities Regulatory Analyst II 15

Public Utilities Regulatory Analyst III 15

Public Utilities Regulatory Analyst IV 15

Public Utilities Regulatory Analyst V 15

Public Utilities Financial Examiner II 15

Public Utilities Financial Examiner III 15

Public Utilities Financial Examiner IV 15

Senior Electrical Engineer 15

Senior Information Systems Analyst (Supv) 3

Senior Programmer Analyst (Supv) 3

Senior Rapid Trans. Comp. Control Syst. Spec 11, 12

Senior Transportation Operations Supervisor 11, 12

Senior Transportation Rate Expert 11, 12

Senior Transportation Representative 11, 12

Senior Utilities Engineer (Specialist) 15

Senior Utilities Engineer (Supervisor) 15

Special Consultant 1

Staff Information Systems Analyst (Specialist) 3

Staff Information Systems Analyst (Supervisor) 3

Staff Programmer Analyst (Supervisor & Specialist) 3

Staff Services Analyst (General) A, B, C 2, 3

Staff Services Manager I 2, 3

Staff Services Manager II (Managerial) 2, 3

Staff Services Manager II (Supervisory) 2, 3

Staff Services Manager III 2, 3

Supervising Transportation Engineer 11, 12

Supervising Transportation Rate Expert 11, 12

Supervising Transportation Representative 11, 12

Supervisor Operations & Safety Section, PUC 11, 12

Telecommunications Systems Analyst I 15

Transportation Analyst B, C 15

Utilities Engineer 15

Exempt Classes

Legal Advisor I, II 1

Technical Advisor, PUC 1

Executive Director, PUC 1

Executive Coord for Media & Public Relations 15

General Counsel, PUC 1

Legislative Analyst, PUC 15

Legislative Director, PUC 2, 3, 15

Special Advisor 1

Other

Commission Consultants 16

(b) General Rules and Definitions

For purposes of the following disclosure categories, "income" includes gifts, loans, and travel payments.

For purposes of the following disclosure categories, "business entity" means any organization or enterprise, including but not limited to a proprietorship, firm, business trust, joint venture, syndicate, corporation or association. "Business position" means any business entity in which the filer is a director, officer, partner, trustee, employee or holder of a position of management, if the business entity or any parent, subsidiary, or otherwise related business entity has an interest in real property in the jurisdiction, or does business or plans to do business in the jurisdiction or had done business in the jurisdiction at any time during the two years prior to the date the statement is required to be filed.

(c) Disclosure Categories

Category 1

Designated officials and employees assigned to this category must report all sources of income, interests in real property, and investments and business positions in business entities.

Category 2

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that provide services, supplies, materials, machinery or equipment of the type purchased, leased, or obtained by contract by the California Public Utilities Commission other than those interests reported under

Category 3.

Category 3

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that manufacture, sell, distribute or otherwise provide computers, computer hardware, computer software, computer services, computer models, or computer-related supplies, materials, machinery, or equipment of the type utilized by the California Public Utilities Commission.

Category 4

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that design, develop, construct, operate, maintain, sell or acquire facilities that transmit or distribute electricity or natural gas, or that generate electricity, or entities that are gas, electricity, or energy consultants, research firms, or engineering firms.

Category 5

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that are energy consultants, entities that design, build, manufacture, sell, distribute or maintain equipment of the type that is utilized especially or particularly by energy service providers, or research or engineering firms that provide services to energy service providers.

Category 6

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that provide energy conservation services or energy management services, and entities that design, build, manufacture, sell, distribute or maintain energy conservation or energy management devices.

Category 7

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that design, develop, construct, operate, maintain, sell or acquire facilities for telecommunications services.

Category 8

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that are telecommunications consultants, entities that design, build, manufacture, sell, distribute or maintain equipment or related products of the type that are utilized especially or particularly by telecommunications providers and end-users, or research or engineering firms that provided services to telecommunications providers.

Category 9

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that design, develop, construct, operate, maintain, sell, or acquire facilities for water utility service, as well as business entities that design, develop, manufacture, operate, maintain or sell water conservation devices or services.

Category 10

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that are hydrological or geological consultants, or entities that design, build, manufacture, sell, distribute or maintain equipment or related products of the type that are utilized especially or particularly by water utilities and end-users, or research or engineering firms that provide services to water utilities.

Category 11

Designated employees assigned to this category must report all income from, and investment and business positions in, business entities that design, develop, construct, operate, maintain, sell or acquire railroads, light rail transit and other transit systems that are within the jurisdiction of the California Public Utilities Commission.

Category 12

Designated employees assigned to this category must report all income from, and investments and business positions in, business entities that design, build manufacture, sell, distribute or maintain equipment or related products of the type that are utilized especially or particularly by motor carriers, railroads, light rail transit and other transit systems that are within the jurisdiction of the California Public Utilities Commission, or consultants or research or engineering firms that provide services to motor carriers, railroads, light rail transit and other transit systems within the jurisdiction of the California Public Utilities Commission.

Category 13

Designated employees assigned to this category must report all income from, and investments and business positions in business entities that have applied for, can reasonably be expected to apply for, or have received approval from the California Public Utilities Commission of funding for intervenor participation or other purpose.

Category 14

Designated employees assigned to this category must report all interests in real property located within the state of California.

Category 15

Designated employees assigned to this category must comply with all the reporting requirements in Categories 4 through 14.

Category 16

Consultants to the California Public Utilities Commission or to a regulated entity on behalf of the Commission (as defined in Title 2, California Code of Regulation § 18700) must disclose pursuant to the broadest disclosure category in the code subject to the following limitation:

The executive director may determine in writing that a particular consultant 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. Such written determination shall include a description of the consultant's duties and, based upon the description, a statement of the extent of disclosure requirements. The determination of the executive director is a public document and shall be retained for public inspection in the same manner and location as the disclosure statements.