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HomeMy WebLinkAbout06. Approve updates to Conflict of Interest Code Page 1 of 15 Item 6. CENTRAL SAN CENTRAL SAN BOARD OF DIRECTORS POSITION PAPER MEETING DATE: SEPTEMBER 20, 2018 SUBJECT: ADOPT RESOLUTION NO. 2018-027 APPROVING BIENNIAL UPDATES TO THE DISTRICT'S CONFLICT OF INTEREST CODE AND DIRECTING THE SECRETARYOF THE DISTRICT TO SUBMIT THE UPDATED 2018 CONFLICT OF INTEREST CODE TO THE CONTRA COSTA COUNTY BOARD OF SUPERVISORS FOR APPROVAL SUBMITTED BY: INITIATING DEPARTMENT: KATIE YOUNG, SECRETARY OF THE SECRETARYOF THE DISTRICT DISTRICT Roger S. Bailey Kenton L. Alm General Manager District Counsel 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. 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 September 20, 2018 Regular Board Meeting Agenda Packet- Page 31 of 134 Page 2 of 15 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. 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. In 2016, the review of the Conflict of Interest Code generated a few changes, including job title changes and the addition of newly-created job classifications with multiple classifications added to the list of filers. After reviewing the District's Conflict of Interest Code this year, the the following changes are proposed: 1. Add new language clarifying that Board Members, certain employees and officials are now required to file their Form 700s electronically with the County using the NetFile paperless filing system; 2. Add the Secretary of the District and District Counsel to the list of designated positions that must file electronically with the County; 3. Incorporate one job title change; and 4. Include various formatting/grammatical updates. A finalized copy of the proposed 2018 Conflict of Interest Code with the changes saved is included as Attachment 1. A strikeout comparing the 2016 Conflict of Interest Code with the proposed 2018 version is included as Attachment 2. Finally, a proposed resolution authorizing the Secretary of the District to submit the updated Conflict of Interest Code to the County for approval is included as Attachment 3. ALTERNATIVES/CONSIDERATIONS The Board may decide that additional revisions need to be made. FINANCIAL IMPACTS None related to this action. COMMITTEE RECOMMENDATION This matter was not reviewed by a Board Committee. RECOMMENDED BOARD ACTION Adopt a proposed resolution approving the recommended changes to the District's Conflict of Interest Code and directing the Secretary of the District to complete the 2018 Conflict of Interest Code Biennial Notice and submit it to the Contra Costa County Board of Supervisors for approval. Strategic Plan Tie-In GOAL TWO: Strive to Meet Regulatory Requirements Strategy 3- Comply with all federal, state, and local regulations related to District administration ATTACHMENTS: 1. Proposed 2018 Conflict of Interest Code (finalized) 2. Comparison of 2016 and proposed 2018 Conflict of Interest Code (in strikeout) September 20, 2018 Regular Board Meeting Agenda Packet- Page 32 of 134 Page 3 of 15 3. Proposed Resolution September 20, 2018 Regular Board Meeting Agenda Packet- Page 33 of 134 Page 4 of 15 ATTACHMENT 1 CONFLICT OF INTEREST CODE Adopted November 15, 2012 Last Revised September 20, 2018 CENTRALSAN CENTRAL CONTRA COSTA SANITARY DISTRICT CONFLICT OF INTEREST CODE A. 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. B. Code-Reviewing Body The Contra Costa County Board of Supervisors is the Code-Reviewing Body for this Conflict of Interest Code. C. Place of Filing 1. Those individuals who are required to file a Statement of Economic Interests (Form 700) shall do so as follows: a. File Directly with the County The Board Members, employees and officers listed in Section F below shall file a Form 700 electronically with Contra Costa County using NetFile's paperless system and shall also provide a courtesy copy of the Form 700 to the Secretary of the District. The Secretary of the District is considered the "filing official" for those holding these positions. b. File with the Secretary of the District Employees listed in Section G below shall file an original Form 700 with the Secretary of the District. The Secretary of the District is considered the "filing officer" and shall retain the original statements. D. Public Records Form 700s 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. September 20, 2018 Regular Board Meeting Agenda Packet- Page 34 of 134 Page 5 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 2 of 5 09-20-18 E. Disqualification Board Members, employees, and officials in positions designated in Sections F and G 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 individual may be materially affected by the decision. The individual 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 individual's participation. F. Officials Who Manage Public Investments In accordance with Government Code Sections 87200 and 87314, certain positions are required to file a Form 700; specifically, those who direct the investment of public monies, formulate or approve investment policies, approve or establish guidelines for asset allocations, or approve investment transactions. It has been determined that the positions listed below shall file, upon assuming and leaving office and annually while in office, a Form 700 disclosing that official's interest in investments, real property, and income designated as reportable under the disclosure category to which the official's position is assigned. Officials who manage public investments shall be disqualified from participation as described above: Designated Positions Disclosure Category 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 Finance and Administration 1 7. Director of Engineering and Technical Services 1 8. Finance Manager 1 G. 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 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 Category 9. Capital Projects Division Manager 1 10. Collection System Operations Division Manager 1 11. Plant Operations Division Manager 1 12. Plant Maintenance Division Manager 1 13. Planning and Development Services Division 1 Manager September 20, 2018 Regular Board Meeting Agenda Packet- Page 35 of 134 Page 6 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 3 of 5 09-20-18 Designated Positions Disclosure Category 14. Environmental and Regulatory Compliance 1 Division Manager 15. Human Resources Manager 1 16. Communication Services and Intergovernmental 1 Relations Manager 17. Information Technology Manager 1 18. Program Manager 1 19. Purchasing and Materials Manager 1 20. Consultant (see Section H below) 1 21. Employees or consultants hired as financial 1 advisor or underwriter 22. Risk Management Administrator 1 23. Control Systems Engineer 1 24. Senior Engineer 1 25. Associate Engineer 1 26. Senior Materials Coordinator 2 27. Senior Buyer 2 28. Material Services Supervisor 2 29. Maintenance Planner 2 30. Pumping Stations Supervisor 2 31. Plant Operations Superintendent 2, 4 32. Field Operations Superintendent 2, 4 33. Plant Maintenance Superintendent 2, 4 34. Laboratory Superintendent 2, 4 35. Environmental Compliance Superintendent 2, 4 36. Senior Environmental Compliance Inspector 2, 4 37. Environmental Compliance Inspector 2, 4 38. Construction Inspector 2, 4 39. Right of Way Agent 2, 3 40. Senior Right of Way Agent 2, 3 41. Land Surveyor 3 42. Development Services Supervisor 3, 4 H. 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 the District: 1. Makes a governmental decision whether to: a. Approve a rate, rule, or regulation; b. Adopt or enforce a law; September 20, 2018 Regular Board Meeting Agenda Packet- Page 36 of 134 Page 7 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 4 of 5 09-20-18 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; 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 Sections F and G above. (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. I. 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: September 20, 2018 Regular Board Meeting Agenda Packet- Page 37 of 134 Page 8 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 5 of 5 09-20-18 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. September 20, 2018 Regular Board Meeting Agenda Packet- Page 38 of 134 page 9 of I IS ATTACHMENT 2 CONFLICT OF INTEREST CODE Adopted November 15, 2012 Last Revised September 1 , 201620, 2018 CENTRAL M 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-Reviewing Body The Contra Costa County Board of Supervisors is the Code-Reviewing Body for this Conflict of Interest Code. Place , e-of Filing 1 All employees Those individuals who arc required to submi file a statemnStatement of eGonomio in}erns}Economic Interests (Form 700) shall filo the Original do so as follows: a. File Directly with the County The Board Members, employees and officers listed in Section F below shall file a Form 700 electronically with Contra Costa County using NetFile's paperless system and shall also provide a courtesy copy of the Form 700 to the Secretary of the District. The Secretary of the District is considered the "filing official" for those holding these positions. 7 The Se i of Itis } who ro the statemnn}s of z�T�vc�e'ta•r�vrthe�rltrFcT,-v�rr�Tc � e Goonoomi�tor�e shall make and retain a coed and forward the original to the Board of Supervisors for the following designated films A. Member, Board of Director R. onr General Mana B. September 20, 2018 Regular Board Meeting Agenda Packet- Page 39 of 134 Page 10 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 2 of 6 9 ia�o 09-20-18 GDeputy qty General Manager D Aire of Budget aR d Cinanne �vrcetBr�rvaagc Gra-rrrrcrrrcc .Drrre r of Engineering & TeeGhnnTaIrverVTGes C. Cinanaer For p �rplses of FPPC reg�a�Ry � eG Sreta-�� � DicC� h ghno"n Te�+h "filing nffi " fer the above sox positions. 3.ne b. File with the Secretary of the District Employees listed in Section G below shall file an original Form 700 with the Secretary of the District shall Leen the original statements of a Gene�ntere�sts filed ersens in all etheF pesitien�er purposes of FPPC reg;-art+e;: tie. The Secretary�FP'o�'f`'�the District is considered the "filing officer" for these ether nesitiens and shall retain the original statements. D. Public Records Statements of e/Genemin interesteForm 700s 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. E. Disqualification Em ees-Board Members, employees, and officials in positions designated in Sections F and G 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 empleyeeindividual may be materially affected by the decision. The empleyeeindividual 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 empleyee'sindividual's participation. F. Officials Who Manage Public Investments In accordance with Government Code Seet+eR Sections 87200; and 87314, certain positions designatedare required to file statements of eGenemie interests area Form 700; specifically, thosed+reet+ngwho direct the investment of public monies, fermulafingformulate or apprevingapprove investment policies, apprevingapprove or estahlishingestablish guidelines for asset allocations, or apprevir�gapprove investment transactions.". It has been determined that the positions listed below shall file, upon assuming and leaving office and annually while in office, a Form 700 disclosing that official's interest in investments, real property, and income designated as reportable under the disclosure category to which the official's position is assigned. Officials who manage public investments and will file a statement of enonomin interests andshall be disqualified from participation as described above: September 20, 2018 Regular Board Meeting Agenda Packet- Page 40 of 134 Page 11 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 3 of 6 9 ia�o 09-20-18 Designated Positions Disclosure Category 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 Budget & Finance and Administration 1 7. Director of Engineering &and Technical Services 1 8. Finance Manager 1 G. 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 eoenemio interests (a1 o knOWR as „-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. Decinnated Positions Disclosure Category 4-.9. Member, Boardof Dirert� 4- GT IT 2-.10. General Manager 4- 3-.11. - 3-.11. Senretary of the Dis+rin+ 4- 4-.12. - 4-.12. Goi rnsel fer the Distrint 4- 5-.13. - .13. Deputy General Manager 4- 6-.14. DireGter of Budget & Finanne 4- 7--.15. Director of Engineering andTeGhniGal ServiEes 4- 8-.16. Finance Manager 4- Designated Positions Disclosure Category 17. Capital Projects Division Manager 1 18. Collection system Operations Division Manager 1 19. Plant Operations Division Manager 1 20. Plant Maintenance Division Manager 1 21. Planning and Development Services Division 1 Manager 22. Environmental and Regulatory Compliance 1 Division Manager 23. Human Resources Manager 1 24. Communication Services and Intergovernmental 1 Relations Manager 25. Information Technology Manager 1 26. Program Manager 1 27. Purchasing and Materials Manager 1 28. Consultant (see Section H below) 1 September 20, 2018 Regular Board Meeting Agenda Packet- Page 41 of 134 Page 12 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 4 of 6 9 ia�o 09-20-18 29. Employees or consultants hired as financial 1 advisor or underwriter 30. Risk Management Administrator 1 31. Control Systems Engineer 1 32. Senior Engineer 1 33. Associate Engineer 1 34. Senior Materials Coordinator 2 35. Senior Buyer 2 36. Material Services Supervisor 2 37. Maintenance Planner 2 38. Pumping Stations Supervisor 2 39. Plant Operations Superintendent 2, 4 40. Field Operations Superintendent 2, 4 41. Plant Maintenance Superintendent 2, 4 42. Laboratory Superintendent 2, 4 43. Environmental Compliance Superintendent 2, 4 44. Senior Environmental Compliance Inspector 2, 4 45. Environmental Compliance Inspector 2, 4 46. Construction Inspector 2, 4 47. Right of Way Agent 2, 4 48. Senior Right of Way Agent 2, 4 49. Land Surveyor 3 50. Development Services Supervisor 3, 4 H. 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 goyernmeRt aryonc-"the District: 1. Makes a governmental decision whether to: Aa. Approve a rate, rule, or regulation; 43b. Adopt or enforce a law; Cc. Issue, deny, suspend, or revoke any permit, license, application, certificate, approval, order, or similar authorization or entitlement; Od. Authorize the agency to enter into, modify, or renew a contract provided it is the type of contract that requires agency approval; €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; September 20, 2018 Regular Board Meeting Agenda Packet- Page 42 of 134 Page 13 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 5 of 6 9,11 2016 o 09-20-18 f. Grant agency approval to a plan, design, report, study, or similar item; Gg. 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 ago„ CORfInGt Of interest Gode.Sections F and G above. (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: September 20, 2018 Regular Board Meeting Agenda Packet- Page 43 of 134 Page 14 of 15 Central Contra Costa Sanitary District Conflict of Interest Code—Page 6 of 6 9,11 2016 o 09-20-18 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. September 20, 2018 Regular Board Meeting Agenda Packet- Page 44 of 134 Page 15 of 15 RESOLUTION NO. 2018- 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: Section 1. 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 Section 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 this 20th day of September 2018, by the Board of Directors of the Central Contra Costa Sanitary District by the following vote: AYES: Members: NOES: Members: ABSENT: Members: James A. Nejedly President of the Board of Directors Central Contra Costa Sanitary District, County of Contra Costa, State of California COUNTERSIGNED: Katie Young Secretary of the Central Contra Costa Sanitary District, County of Contra Costa, State of California Approved as to Form: Kenton L. Alm, Esq. District Counsel September 20, 2018 Regular Board Meeting Agenda Packet- Page 45 of 134