HomeMy WebLinkAbout04.e. Review draft Position Paper to consider adopting Resolution No. 2021-____ approving updates to the District’s Conflict of Interest Code and directing the Secretary of the District to submit the updated Conflict of Interest Code to the Contra Costa CItem 4.e.
BOARD OF DI RECTORS
POSIT ION PA PER
DRAFT
M E E T ING D AT E:MAY 4, 2021
S UB J E C T: R EVIEW D R AF T P OS IT IO N PAPE R TO CO N SID ER ADO PT ING RE SO L UT IO N
N O. 2021-____ AP PRO VING UP D AT E S T O T HE DIST R ICT ’S C ONFL ICT OF
INT ERE ST C ODE AN D DIR ECT ING T H E SE C R ETARY OF T HE DIST R ICT T O
SUB M IT T HE UP D AT E D CO N F L IC T O F IN T E R ES T CO D E T O T HE CO N T RA
C OS TA CO U N T Y BO AR D O F S U PE RVISO R S F OR AP PRO VA L
S UB M I T T E D B Y:
K AT I E YO UNG, S E C R E TA RY O F T HE
D I S T R I C T
I NI T I AT I NG D E PART M E NT:
S E C R E TA RY O F T HE D I S T R I C T
RE V IE WE D B Y:K E NT A L M, D I S T R I C T C O UNS E L
R O G E R S. B A I L E Y, G E NE R A L MA NA G E R
IS S UE
As a result of a recent D eferred C ompensation P lan Administrative Procedure (AP) approved by the General
Manager, employees that have volunteered for the Deferred Compensation Advisory Committee must complete
a Conflict of Interest form. T herefore, staff is requesting the Board approve the addition of the advisory
committee to the District's Conflict of Interest Code. Subsequently, any changes are submitted to the Contra
Costa County Board of Supervisors for final approval.
B AC K G RO UND
T he P olitical R eform A ct of 1974 and the Central Contra Costa S anitary D istrict C onflict of I nterest C ode
require that the Board of Directors adopt a list of designated positions of of f icers and employees who
make, or participate in making, decisions that could have a material ef f ect on a personal f inancial interest.
I t is also required that the local agency review its C onflict of I nterest C ode every two years, and determine
whether or not changes are necessary.
T he District reviews the designated positions on a biennial basis in even-numbered years and proposes
amendments to the Conf lict of I nterest 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. T he last biennial update occurred in A ugust 2020.
A strikeout comparing the 2020 C onflict of I nterest C ode with the proposed additional position version is
included as A ttachment 1. A proposed resolution authorizing the Secretary of the District to submit the updated
May 4, 2021 Regular ADMIN Committee Meeting Agenda Packet - Page 41 of 91
Page 1 of 8
Conflict of Interest Code to the County for approval is included as Attachment 2.
ALT E RNAT I V E S /C O NS I D E RAT IO NS
T he B oard may decide that additional revisions need to be made.
F I NANC IAL I M PAC T S
None related to this action.
C O M M I T T E E RE C O M M E ND AT IO N
T he Administration Committee reviewed this item at its meeting on May 4, 2021 and recommended
____________.
RE C O M M E ND E D B O ARD AC T I O N
Adopt the proposed resolution approving the recommended changes to the District’s Conf lict of I nterest
C ode and directing the S ecretary of the District to submit it to the Contra Costa County Board of
Supervisors f or approval.
Strategic Plan Tie-I n
G O A L O N E: Customer and C ommunity
Strategy 2 – Maintain a positive reputation
G O A L TW O: Environmental Stewardship
Strategy 1 – Achieve 100% compliance in all regulations
AT TAC HM E NT S :
D escription
1. Comparison of 2020 and proposed 2021 Conf lict of I nterest Code (in strikeout)
2. P roposed Resolution
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CONFLICT OF INTEREST CODE
Adopted: November 15, 2012
Last Revised: August 20, 2020
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.
ATTACHMENT 1
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Central Contra Costa Sanitary District
Conflict of Interest Code – Page 2 of 5
08-20-20
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. Director of Operations 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
Manager
1
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Central Contra Costa Sanitary District
Conflict of Interest Code – Page 3 of 5
08-20-20
Designated Positions Disclosure Category
14. Environmental and Regulatory Compliance
Division Manager
1
15. Human Resources and Organizational
Development Manager
1
16. Communication Services and Intergovernmental
Relations Manager
1
17. Information Technology Manager 1
18. Resource Recovery Program Manager 1
19. Purchasing and Materials Manager 1
20. Consultant (see Section H below) 1
21. Employees or consultants hired as financial
advisor or underwriter
1
22. Employees on the Deferred Compensation
Advisory Committee
1
22.23 Risk Management Administrator 1
23.24 Utility Systems Engineer 1
24.25 Senior Engineer 1
25.26 Associate Engineer 1
26.27 Senior Materials Coordinator 2
27.28 Contracts Specialist 2
28.29 Senior Buyer 2
29.30 Material Services Supervisor 2
30.31 Maintenance Planner 2
31.32 Pumping Stations Supervisor 2
32.33 Plant Operations Superintendent 2, 4
33.34 Field Operations Superintendent 2, 4
34.35 Plant Maintenance Superintendent 2, 4
35.36 Laboratory Superintendent 2, 4
36.37 Environmental Compliance Superintendent 2, 4
37.38 Senior Environmental Compliance Inspector 2, 4
38.39 Environmental Compliance Inspector 2, 4
39.40 Construction Inspector 2, 4
40.41 Right of Way Agent 2, 3
41.42 Senior Right of Way Agent 2, 3
42.43 Land Surveyor 3
43.44 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:
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Central Contra Costa Sanitary District
Conflict of Interest Code – Page 4 of 5
08-20-20
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;
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
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Central Contra Costa Sanitary District
Conflict of Interest Code – Page 5 of 5
08-20-20
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.
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ATTACHMENT 2
RESOLUTION NO. 2021-XXX
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 May 2021, by the Board of Directors of the
Central Contra Costa Sanitary District by the following vote:
AYES: Members:
NOES: Members:
ABSENT: Members:
_____________________________________
Tad Pilecki
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.
Counsel for the District
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