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HomeMy WebLinkAbout04.h. Changes to Conflict of Interest CodeCentral Contra Costa Sanitary District .� ' BOARD OF DIRECTORS POSITION PAPER Board Meeting Date: September 4, 2014 subject: ADOPT RESOLUTION APPROVING CHANGES TO THE DISTRICT'S CONFLICT OF INTEREST CODE AND DIRECTING THE SECRETARY THE DISTRICT TO COMPLETE THE 2014 CONFLICT OF INTEREST CODE BIENNIAL NOTICE Submitted By: Initiating Dept✓Div.: Elaine R. Boehme Administration Secretary of the District REVIEWED AND RECOMMENDED FOR BOARD ACTION. f 1 •s.7 L - v. Kent Alm Roger S. Bailey Counsel for the District General Manager ISSUE: The Political Reform Act requires every local government agency to review its Conflict of Interest Code every two years, no later than October 1 of each even - numbered year, and determine whether or not changes are required. Any changes are submitted to the Contra Costa County Board of Supervisors for approval. RECOMMENDATION: Adopt a resolution (Attachment A) approving the recommended changes to the District's Conflict of Interest Code and directing the Secretary of the District to complete the 2014 Conflict of Interest Code Biennial Notice and submit it to the Board of Supervisors for approval. FINANCIAL IMPACTS: None related to this action. ALTERNATIVES /CONSIDERATIONS: The Board may decide that additional amendments need to be made. BACKGROUND: The Political Reform Act of 1974 and the Central Contra Costa Sanitary District Conflict of Interest Code require that the Board of Directors adopt a list of designated positions of officers and employees who make, or participate in making, decisions that could have a material effect on a personal financial interest. It is also required that the local agency review its Conflict of Interest Code every two years, and determine whether or not changes are necessary. The District reviews the designated positions on a biennial basis in even - numbered years and proposes amendments to the Conflict of Interest Code as necessitated by any changed circumstances, including the creation of new classifications, deletion of classifications, and relevant changes in the duties assigned to existing positions. N:WDMINSUP\ADMIN \DIST- SEC \FPPC Form 700 (Conflict of Interest) \COI Biennial Code Revisions\2014 Code Revisions\2014 Position Paper Changes.docx Page 1 of 2 POSITION PAPER Board Meeting Date: September 4, 2014 Subject: ADOPT RESOLUTION APPROVING CHANGES TO THE DISTRICT'S CONFLICT OF INTEREST CODE AND DIRECTING THE SECRETARY THE DISTRICT TO COMPLETE THE 2014 CONFLICT OF INTEREST CODE BIENNIAL NOTICE In 2012 a comprehensive review and update of the District's Conflict of Interest Code was completed, including an in -depth review of the job duties of designated filers and non - filers, and disclosure categories. On November 15, 2012, the Board adopted Resolution 2012 -090 adopting the updated Conflict of Interest Code and Ordinance 275, incorporating those changes into the District Code. The recent review of the Conflict of Interest Code has generated a few minor changes: addition of the new Deputy General Manager classification and associated deletion of Director positions, and deletion of other obsolete classifications as shown on the attached strikeout (Attachment B). COMMITTEE RECOMMENDATION: This matter was not reviewed by a Committee. RECOMMENDED BOARD ACTION: Adopt a resolution approving the recommended changes to the District's Conflict of Interest Code and directing the Secretary of the District to complete the 2014 Conflict of Interest Code Biennial Notice and submit it to the Board of Supervisors for approval. Attached Supporting Documents: A: Proposed Resolution B: Conflict of Interest Code Strikeout NAADMINSUP\ADMIN \DIST- SEC \FPPC Form 700 (Conflict of Interest) \COI Biennial Code Revisions\2014 Code Revisions\2014 Position Paper Changes.docx Page 2 of 2 ATTACHMENT A RESOLUTION NO. 2014 -03Z, A RESOLUTION AMENDING THE CENTRAL CONTRA COSTA SANITARY DISTRICT CONFLICT OF INTEREST CODE WHEREAS, the Political Reform Act of 1974 requires every local government agency to review its Conflict of Interest Code biennially, no later than October 1 of each even - numbered year, and determine whether changes are necessary; and WHEREAS, Section 2.20.020 of the Central Contra Costa Sanitary District Code provides that the Board of Directors shall from time to time establish by resolution designated positions of officers and employees deemed to make, or participate in the making of, decisions that may foreseeably have a material effect on a financial interest. NOW, THEREFORE, BE IT RESOLVED by the Board of Directors of the Central Contra Costa Sanitary District as follows: The proposed changes to the Central Contra Costa Sanitary District Conflict of Interest Code, a copy of which is attached, are hereby approved and adopted by the District, subject to approval by the Board of Supervisors of the County of Contra Costa; and 2. The Secretary of the District is hereby authorized and instructed to submit a copy of such Code amendment to the Board of Supervisors of the County of Contra Costa and to request the Board of Supervisors to approve said Code amendment in accordance with Government Code Section 87303. PASSED AND ADOPTED by the Central Contra Costa Sanitary District Board of Directors this 4t" day of September 2014, by the following vote: AYES: Members: NOES: Members: ABSENT: Members: David R. Williams President of the Board of Directors Central Contra Costa Sanitary District, County of Contra Costa, State of California COUNTERSIGNED: Elaine R. Boehme, CMC Secretary of the Central Contra Costa Sanitary District, County of Contra Costa, State of California Approved as to Form: Kenton L. Alm District Counsel CONFLICT OF INTEREST CODE Adopted November 15, 2012 Last Revised September 4, 2014 ATTACHMENT B wwwxentralsamorg CENTRAL CONTRA COSTA SANITARY DISTRICT CONFLICT OF INTEREST CODE Incorporation of FPPC Regulation by Reference Title 2, Section 18730 of the California Code of Regulations and any amendments to that regulation subsequently adopted by the Fair Political Practices Commission (FPPC) are hereby incorporated in this Conflict of Interest Code by reference. Code- Reviewinq Body The Contra Costa County Board of Supervisors is the Code - Reviewing Body for this Conflict of Interest Code. Place and Time of Filing 1. All employees required to submit a statement of economic interests shall file the original with the Secretary of the District. 2. The Secretary of the District, who receives the statements of economic interests, shall make and retain a copy and forward the original to the Board of Supervisors for the following designated filers: A. Member, Board of Directors B. General Manager C Deputy General Manager GD. Director of Administration GE. Director of Engineering €F. Finance Manager For purposes of FPPC regulations, the Secretary of the District is considered the "filing official" for the above five positions. 3. The Secretary of the District shall keep the original statements of economic interests filed by persons in all other positions. For purposes of FPPC regulations, the Secretary of the District is considered the "filing officer" for these other positions. Public Records Statements of economic interests are public records subject to Government Code Section 81008, and are available for public inspection not later than the second business day following the day on which the statement was received. Central Contra Costa Sanitary District Conflict of Interest Code — Page 2 of 4 11,11512 91412014 Disqualification Employees in positions designated below shall disqualify themselves from making or participating in the making of any governmental decision when it is reasonably foreseeable that a financial interest of the employee may be materially affected by the decision. The employee shall not be required to disqualify himself or herself with respect to any matter which could not be legally acted upon or decided without the employee's participation. Officials Who Manage Public Investments In accordance with Government Code Section 87200, positions designated to file statements of economic interests are those "directing the investment of public monies, formulating or approving investment policies, approving or establishing guidelines for asset allocations, or approving investment transactions." It has been determined that the positions listed below manage public investments and will file a statement of economic interests and be disqualified from participation as described above: Disclosure Category 1. Member, Board of Directors 1 2. General Manager 1 3. Deputy General Manager 1 43. Director of Administration 1 54. Director of Engineering 1 65. Finance Manager 1 Disclosure Statement and Designated Positions Each employee in the positions designated below shall file, upon assuming and leaving office and annually while in office, a statement of economic interests (also known as a Form 700) disclosing that employee's interest in investments, real property, and income designated as reportable under the disclosure category to which the employee's position is assigned. Employees in these "designated positions" are those who the District has determined will make or participate in making governmental decisions and who could forseeably be affected materially by those decisions. Designated Positions _Disclosure Categories 1. Member, Board of Directors 1 2. General Manager 1 3. Secretary of the District 1 4. Counsel for the District 1 5. Deputy General Manager 1 6. Director of Administration 1 7. Director of Engineering 8. Dire]'Gr of DInnt Operations 1 1 4-G-.8. Finance Manager 49. Capital Projects Division Manager 1 4210. Collection System Operations Division Manager 1 411. Plant Operations Division Manager 1 44-.12. Plant Maintenance Division Manager 1 Central Contra Costa Sanitary District Conflict of Interest Code — Page 3 of 4 /1,5 Z;2 Designated Positions Disclosure Categories 4-5-.13. Environmental Services Division Manager 1 47-.14. Human Resources Manager 1 48-.15. Communication Services Manager 1 4416. Purchasing and Materials Manager 1 2417. Consultant (see section below) 1 2418. Employees or consultants hired as financial 1 advisor or underwriter 22-.19. Safety and Risk Management Administrator 23. Se„mor Ccam;;rtel Systems 1 ERgiReer 3420. Associate Control Systems Engineer ^ rin -4 1 1 rte— �ER al giRe'er 2-6-.21. Senior Engineer 1 2422. Associate Engineer 1 2423. Information Technology Administrator 2 2424. Senior Materials Coordinator 2 3425. Senior Buyer 31. Buyer 2 32-.26. Material Services Supervisor 2 2 3427. Plant Operations Superintendent 2,4 3428. Field Operations Superintendent 2,4 3-5-.29. Plant Maintenance Superintendent 2,4 3430. Laboratory Superintendent 2,4 3431. Environmental Compliance Superintendent 2,4 3432. Right of Way Agent 2,3 3433. Senior Right of Way Agent 2,3 4434. Land Surveyor 3 4435. Development Services Supervisor 3,4 Consultants Only those Consultants who fall within the criteria described below shall disclose pursuant to the broadest disclosure category in the District's Conflict of Interest Code, unless the General Manager determines that a less broad category is appropriate. For purposes of the District's Conflict of Interest Code, "Consultant" means an individual who, pursuant to a contract with a state or local government agency: 1. Makes a governmental decision whether to: A. Approve a rate, rule, or regulation; B. Adopt or enforce a law; C. Issue, deny, suspend, or revoke any permit, license, application, certificate, approval, order, or similar authorization or entitlement; D. Authorize the agency to enter into, modify, or renew a contract provided it is the type of contract that requires agency approval; Central Contra Costa Sanitary District Conflict of Interest Code — Page 4 of 4 91412014 E. Grant agency approval to a contract that requires agency approval and to which the agency is a party, or to the specifications for such a contract; F. Grant agency approval to a plan, design, report, study, or similar item; G. Adopt, or grant agency approval of, policies, standards, or guidelines for the agency, or for any subdivision thereof; or 2. Serves in a staff capacity with the agency and in that capacity participates in making governmental decisions as defined in FPPC Regulation 18702.2 or performs the same or substantially all the same duties for the agency that would otherwise be performed by an individual holding a position specified in the agency's Conflict of Interest Code. (FPPC Regulation 18701.) The General Manager shall make a determination in writing when a particular Consultant falls within the above - described criteria requiring the Consultant to be treated as a "designated position." The General Manager's determination is a public record and shall be retained for public inspection in the same manner and location as the Conflict of Interest Code. Disclosure Category Index Category 1 — Officials and employees whose duties are broad and indefinable: All investments and business positions in business entities, and income (including loans, gifts and travel payments) from sources located in or doing business in the District's jurisdiction. Interests in real property located in the jurisdiction, including property within two miles of the boundaries of the District's jurisdiction. Category 2 — Officials and employees whose duties involve contracting or purchasing for the District: All investments and business positions in business entities, and income (including gifts, loans and travel payments) from sources that provide leased facilities, goods, equipment, vehicles, machinery or services, including training or consulting services, of the type utilized by this District. Category 3 — Officials and employees whose decisions may affect real property interests: Interests in real property located in the jurisdiction, including property within two miles of the boundaries of the District. Category 4 — Officials and employees with regulatory powers: All investments and business positions and income, including gifts, loans and travel payments, from sources that are subject to the regulatory, permit or licensing authority of, or have an application for a license or permit pending before, the District.