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HomeMy WebLinkAbout02. Consider revisions to Board Policy No. BP 023 - Board Ethics and Conduct Page 1 of 9 Item 2. CENTRAL SAN BOARD OF DIRECTORS AOL POSITION PAPER MEETING DATE: MARCH 1, 2018 SUBJECT: CONSIDER PROPOSED REVISIONS TO BOARD POLICY NO. BP 023 — BOARD ETHICS AND CONDUCT FACILITATORS : BRENT IVES AND DISTRICT COUNSEL KENTALM SUBMITTED BY: INITIATING DEPARTMENT: KATIE YOUNG, SECRETARY OF THE SECRETARYOF THE DISTRICT DISTRICT Roger S. Bailey Kenton L. Alm General Manager District Counsel ISSUE Board approval is required for revisions to Board Policies. Revisions are proposed for BP 023, Board Ethics and Conduct. BACKGROUND The Board held a Self-Evaluation Workshop on February 16, 2017 facilitated by Brent Ives, Principal of BHI Management Consulting. The primary outcome of the workshop was a desire to more clearly define the Board Committee process and consider memorializing various Committee protocols. On April 24, 2017, Mr. Ives met with the Administration Committee to: 1. Develop proposed Committee protocols and guidelines to be incorporated in BP 013 — Standing Committee Charters; and March 1, 2018 Special Board Meeting Agenda Packet- Page 4 of 22 Page 2 of 9 2. Consider proposed changes to BP 023— Board Ethics and Conduct. It was recommended that changes to the Ethics and Conduct Policy be considered after the changes to the Standing Committee Charters were finalized. On July 6, 2017, the Board adopted an updated BP 013, now entitled "Standing Committee Protocols, Guidelines and Charters." Since that time, Mr. Ives has been working with the Administration Committee, District Counsel and staff to address proposed changes to BP 023 — Board Ethics and Conduct, which changes are being presented to the full Board for discussion at this meeting. The most substantial changes relate to: • Expanding the Ex Parte Communications section; • Clarifying policy direction and instructions for the General Manager; • Providing parameters for Board Member requests for information from staff requiring more than a minimal amount of staff time; • Adding a provision for annual Board self-evaluations; and • Expanding the Violation of Policy section in terms of how violations may be addressed. A strikeout version of the policy indicating the proposed changes is attached. Mr. Ives and District Counsel Kent Alm will be present at the meeting to facilitate the discussion. ALTERNATIVES/CONSIDERATIONS The Board may provide other direction to staff. FINANCIAL IMPACTS None. COMMITTEE RECOMMENDATION The Administration Committee reviewed the Policy on April 24, 2017 and provided input to Mr. Ives and staff, which input has been taken into consideration in developing the proposed changes. RECOMMENDED BOARD ACTION Review and approve the recommended changes to Board Policy No. BP 023 — Board Ethics and Conduct. ATTACHMENTS: 1. BP 023 - Board Ethics and Conduct (showing proposed changes in strikeout) March 1, 2018 Special Board Meeting Agenda Packet- Page 5 of 22 Page 3 of 9 Central Contra Costa Number: BP 023 Sanitary District Authority: Board of Directors DRAFT No. 3 Effective: July 7, 2016 As of 1:45 pm 1-10-18 - Revised: [insert date] "-- Reviewed: Initiating Dept./Div.: Board of Directors/ www.centralsan.org Secretary of the District BOARD POLICY BOARD ETHICS AND CONDUCT PURPOSE To promote and maintain high standards of personal and professional conduct of Central San Board Members that reflect the mission, vision, values and goals of the District and the communities it serves. POLICY Responsibilities of Public Office Board Members are dedicated to the concepts of effective and democratic government by responsible elected officials, including: • Upholding the Constitution of the United States and the Constitution of the State of California and carry out the laws of the nation, the state and local governmental agencies; • Complying with applicable laws and policies regulating their conduct, including open government, conflict of interest, and financial disclosure laws; • Being accountable to the constituents as a top priority through impartial and independent decision making in light of the needs of the people they serve; • Creating policies and provide fiscal oversight; and • Appointing and evaluating the General Manager, Secretary of the District, and District Counsel. A. Board Ethics The Members of the Board of Directors shall conduct themselves in accordance with the following ethical standards: N:IADMINSUPIADMINIDIST-SECIPolicies&Procedures Board&Administrativel_BOARD POLICIES(BP)-APPROVEDIBP 023 Board Ethics and Conduct-STRIKEOUT Draft 3(KA&BI rev 1-10-18).docx (as of 10-18-17 12:10 p.m.) March 1, 2018 Special Board Meeting Agenda Packet- Page 6 of 22 Page 4 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 2of7 1. Act in the Public Interest: Recognizing that stewardship of the public interest must be their primary concern, Board Members will work for the common good of the people and not for any private or personal interest. They will assure fair and equal treatment of all persons, claims and transactions coming before the Board of Directors. 2. Decisions Based on Merit: Board Members shall base their decisions on the merits and substance of the matter at hand, rather than on unrelated considerations or personal interests. Board Members shall listen to and consider all evidence and information presented on a matter and refrain from reaching any final conclusion until the completion of the hearing or the discussion of the matter. 3. Conflict of Interest: Board Members shall avoid conflicts of interest. Board Members shall comply with the District's Conflict of Interest Code, the provisions of the Fair Political Practices Commission Regulations and other applicable laws. 4. Gifts and Favors: Board Members shall not take any special advantage of opportunities for personal gain by virtue of their Board membership. They shall refrain from accepting gifts or benefits which are inconsistent with Fair Political Practices Commission Regulations. 5. Use of Public Resources: Board Members shall not use public resources for private gain or for personal purposes not authorized by law. 6. Advocacy: Board Members shall represent the official policies or positions of the Board of Directors to the best of their ability when designated as delegates for this purpose. When presenting their individual opinions and positions, Board Members shall explicitly state they do not represent the Board of Directors or the District, nor will they allow the inference that they do. 7. Open and Public Meetings: Board Members shall adhere to the rules restricting Board decision making to properly noticed public meetings consistent with the provisions of the Ralph M. Brown Act found at section 54950 and following of the California Government Code. 8. Confidentiality: Board Members shall not disclose to unauthorized persons any information that legally qualifies as confidential without approval of the Board of Directors. This includes information that (1) has been received for, or during, a closed session of the Board; (2) is protected from disclosure under the attorney-client or other evidentiary privilege; or (3) is not disclosable under the Public Records Act. Matters that legally qualify as confidential are to be protected by Board Members unless made public by the entire Board. March 1, 2018 Special Board Meeting Agenda Packet- Page 7 of 22 Page 5 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 3 of 7 In the event of a breach of the duty of confidentiality, Board Members should make a confidential inquiry or complaint first to the General Manager and District Counsel. Should the Board Member be unable to resolve the issue at this level, he or she may contact the Contra Costa County District Attorney or grand jury concerning a perceived violation of the law. Such inquiries or complaints may include disclosing facts to the District Counsel, District Attorney or grand jury necessary to establish the alleged illegality of a District action. Prior to disclosing confidential information, however, a Board Member must first bring the matter to the attention of the full Board, in a lawful and appropriate manner. This provides an opportunity for the Board to address the alleged violation of the law. Coils ire to adhere to those g uideliRes may result in o variety of Board aGtiens for remedy (see CeGtinn 13.6. Vnelotion of PNOAV) B. Board Conduct Guidelines The Board Conduct Guidelines are designed to describe the manner in which Board Members should treat one another, District staff, constituents, and others they come into contact with while representing the District. 1. Board Members' Conduct with Each Other in Public Meetings. Board Members are often individuals with a wide variety of backgrounds, personalities, values, opinions and goals. Despite this diversity, all have chosen to serve the public in order to preserve and protect public health and the environment. In all cases, this common goal should be professionally acknowledged and respected even though individuals may not agree on every issue. a. Respect the Role of the Board President in Maintaining Order It is the responsibility of the Board President to keep the comments of Board Members on track during public meetings. Board Members should respect efforts by the President to focus discussion on current agenda items and reasonably manage the discussion process. If there is disagreement about the agenda or the President's actions, those objections should be voiced politely and with reason, following procedures outlined in the adopted Rosenberg's Rules of Order parliamentary procedure. b. Practice Civility and Decorum in Discussions and Debate Difficult questions, tough challenges to a particular point of view, and criticism of ideas and information are legitimate elements of debate by a free democracy in action. Free debate does not require, nor justify, public officials making belligerent, personal, impertinent, abusive, or disparaging comments. Board Members should be respectful of other Board March 1, 2018 Special Board Meeting Agenda Packet- Page 8 of 22 Page 6 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 4 of 7 members' right to promote differing positions. Mattem that legally qua-lify as Gonfidential are to be preteGted by Board Members unless made pi blit'+ by the entire Boa rd-. C. Demonstrate Effective Problem-Solving Approaches Board Members have a public stage and have the responsibility to show how individuals with disparate points of view can find common ground and seek a compromise that benefits the community as a whole. Board Members shall prepare themselves for meetings, listen attentively to all public discussions, and focus on the business at hand. Board Members should be mindful of the time taken in making their comments and accept that each Board Member should be afforded adequate time for comments. d. Ex Parte Communications Ex parte nommuninations ore �i defined as nommninatiens made outside the Board setts ig iisprresseentiRg ^nly ene side er ene epini en regarding and past, GurFent oF future matter f Dist G hsnBoard Members shall publicly announce to the Board any ex parte communications which may have occurred that relate+ag to matters under consideration at that Board meeting or at future meetings. Ex parte communications are communications made outside the Board setting where not all the Board Members or the public receive the information provided. Board Members shall also announce to the full Board when they have made public statements or presentations outside of a Board meeting concerning matters of District business. When presenting their individual opinions and positions publicly, Board Members shall explicitly state they do not represent the Board of Directors or the District, nor w41-should any such inference be allowed to be drawn. 2. Board Members' Conduct with the Public in Public Meetings a. Public Attendance at Meetings Making the public feel welcome is an important part of the democratic process. The Board President has the responsibility to ensure that the public is treated appropriately and consistently in meetings. No signs of partiality, prejudice or disrespect should be evident on the part of individual Board Members toward an individual participating in a public forum. Every effort should be made to be fair and impartial in listening to public testimony. Asking for clarification is appropriate, but Board Members should avoid debate and argument with the public. The ward President has the respensihilit y to ensure that the pu bliG is treater) appropriately anal nonsistently in meetinos March 1, 2018 Special Board Meeting Agenda Packet- Page 9 of 22 Page 7 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 5of7 b. Avoidance of Discriminatory Speech or Actions Board Members shall avoid statements or comments that suggest any intent to differentiate or discriminate in District actions or policy between persons or classes of the public on the basis of on race, religion, color, creed, age, marital status, national origin, ancestry, gender, sexual orientation, medical condition or disability or other protected classes. 3. Board Members' Conduct with Staff: The District's success in accomplishing its mission can best be accomplished as a result of the Board regularly providing direction and management staff carrying out that direction. a. Board/General Manager Relationship The Board sets policy and the General Manager is responsible for execution of that policy. The Board, as a whole, provides policy direction and instructions to the General Manager on matters within the authority of the Board only by majority vote of the Board during duly convened Board meetings. These instructions and direction include the goals and objectives outlined in the Strategic Plan as well as the General Manager's annual performance goals. b. Requests for Information from Staff Most requests for information from or direction to staff should come from the Board or a Board Committee. There are times when individual Board Members seek additional information from staff. Good management requires that the General Manager monitors and directs the work of staff rather than individual Board Members. If a request comes from an individual Board Member, the request should generally start with the General Manager. The General Manager should be able to obtain the answers or involve the right person in the discussion as needed. Requests from individual Board Members for information, such as studies or assessments that require more than a minimal amount of staff time, shall be placed on a Board agenda for approval by a majority of the Board. If the request is made during a Board meeting, the Board President shall ask the General Manager for an assessment of the staff time necessary to support the request and the full Board shall indicate if it wishes to proceed with obtaining the requested information. The Secretary of the District is often able to assist Board Members with obtaining District records and other scheduling or administrative type matters. C. No Solicitation of Political Support from Staff March 1, 2018 Special Board Meeting Agenda Packet- Page 10 of 22 Page 8 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 6 of 7 Elected officials should not solicit any type of political support from staff. Staff may as private citizens support political candidates of their choice, but all such activities should be done away from the District workplace during non-work hours. d. Positive Work Environment Board Members shall support the maintenance of a positive and constructive work place environment for District employees and shall recognize their special role in dealings with employees to avoid the perception of inappropriate direction to staff. 4. Board Members Serving as Committee Members: Board Members serving as Committee Members shall follow the conduct guidelines set forth above, and shall adhere to Board Policy No. BP 013 — Standing Committee Protocols, Guidelines and Charters. 5. Board Self-Evaluation: The Board shall conduct a public self-evaluation workshop annually, with even years being full evaluations ,%focusing on broad topical performance questions and odd years focusing on specific topics identified in even-year evaluations. 6. Violation of Policy: A perceived violation of this policy by a Board Member should be referred to the Board President for evaluation and consideration of any appropriate action warranted. In the case of a perceived violation by the Board President, the matter should be referred to the President Pro Tem. Typically, reports, complaints or concerns of perceived violations should be shared by the Board President or President Pro Tem with the entire Board. The Board President or President Pro Tem shall seek the assistance of the General Manager and District Counsel with regard to the process for addressing a report or complaint of a perceived violation. A violation of this policy may be addressed by remedies available in law, including but not limited to: a. Informal discussion with the Board President or President Pro Tem; b. Professional counseling/coaching for the individual Board Member, upon recommendation of a majority of the Board; C. An expression of admonition or disapproval of the conduct and/or censure of the Board Member. This could take place in accordance with the following path: March 1, 2018 Special Board Meeting Agenda Packet- Page 11 of 22 Page 9 of 9 Number: BP 023 BOARD ETHICS AND CONDUCT Page 7 of 7 (1) An verbal admonition (not a written action) carried out by the Board President or President Pro Tem in a public meeting with approval of a majority of the Board Members; and (2) A formal censure in the form of a resolution, which may include actions up to and including removal from all committee assignments and any outside form of representation of the District; d. Injunctive relief; or e. Referral of the violation to the Contra Costa County District Attorney and/or grand jury for investigation. Nothing herein, however, shall be construed to prohibit a Board Member of his or her First Amendment right to free speech, nor the Board's right to express their collective disapproval. Formal Board actions to address violations shall be taken in the public portion of a properly noticed Board meeting. [Original retained by the Secretary of the District] March 1, 2018 Special Board Meeting Agenda Packet- Page 12 of 22