HomeMy WebLinkAbout03.d. Adopt Resolution Approving Biennial Updates to the District's Conflict of Interest CodePage 1 of 8
Item 3.d.
DCENTRALSAN
MEETING DATE: SEPTEMBER 5, 2023
BOARD OF DIRECTORS
POSITION PAPER
DRAFT
SUBJECT: REVIEW DRAFT POSITION PAPER TO ADOPT RESOLUTION NO. 2023-
XX APPROVING BIENNIAL UPDATES TO THE DISTRICT'S CONFLICT OF
INTEREST CODE AND DIRECTING THE SECRETARY OF THE DISTRICT
TO SUBMIT THE UPDATED 2023 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
REVIEWED BY: ROGER S. BAILEY, 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.
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. In 2018, a comprehensive review and update was completed including adding new
language to clarify 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. The Secretary of the District
and District Counsel were added to the list of those required to file directly with the County.
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 25 of 38
Page 2 of 8
In 2020, minor updates were made to position title changes. Subsequently, in 2021, an update was made to
include the Employees on the Deferred Compensation Advisory Committee. Finally, in 2022, minor updates
were made to position title changes and additional job classifications were added.
After reviewing the District's Conflict of Interest Code this year, the following changes have been
proposed:
1. Job title changes
2. Addition of a newjob classification
A strikeout comparing the 2022 Conflict of Interest Code with the proposed 2023 version is included as
Attachment 1. 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 2.
ALTERNATIVES/CONSIDERATIONS
The Board may decide that additional revisions need to be made.
FINANCIAL IMPACTS
None related to this action.
COMMITTEE RECOMMENDATION
This item was reviewed by the Administration Committee at its September 5, 2023 meeting and
recommended
RECOMMENDED BOARD ACTION
Adopt the proposed Resolution approving the recommended changes to the District's Conflict of Interest
Code and directing the Secretary of the District to complete the 2023 Conflict of I nterest Code Biennial
Notice and submit it to the Contra Costa County Board of Supervisors for approval.
Strategic Plan re -In
GOAL FOUR: Governance and Fiscal Responsibility
Strategy 1 - Promote and uphold ethical behavior, openness, and accessibility
ATTACHMENTS:
1. Proposed changes to Conflict of Interest Code 2023
2. Proposed Resolution
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 26 of 38
Page 3 of 8
ATTACHMENT 1
CONFLICT OF INTEREST CODE
Adopted: November 15, 2012
Last Revised: August 18, 2-022August 22, 2023
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. Reason for Filing
Those individuals listed in Sections G, H, and I are required to file a Form 700 as
their job duties fall under one, or more, of the following categories:
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.
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 27 of 38
Page 4 of 8
Central Contra Costa Sanitary District
Conflict of Interest Code — Page 2 of 5
084-822-223
• 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.
D. 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 Coun
The Board Members, employees and officers listed in Section G
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 H 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.
E. 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.
F. Disqualification
Board Members, employees, and officials in positions designated in Sections G
and H 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.
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 28 of 38
Page 5 of 8
Central Contra Costa Sanitary District
Conflict of Interest Code — Page 3 of 5
084-822-223
G. 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 — Administration 1
6. Deputy General Manager — Operations 1
director of Operations 4
director of Finance avid Ardminictration4
7. Director of Engineering and Technical Services 1
8. Finance Manager 1
H. Disclosure Statement and Designated Positions
Each employee in the positions designated below shall file a Form 700; upon
assuming and leaving office and annually while in office, a Form Inn 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 foreseeably be affected materially by those decisions.
Designated Positions Category
Management Positions 1
1.
Capital Projects Division Manager 1
2.
Collection System Operations Division Manager 1
3.
Communication Services and Government Relations Manager 1
4.
Environmental and Regulatory Compliance Division Manager 1
5.
Human Resources & Organizational Development Manager 1
6.
Information Technology Manager 1
7.
Internal Auditor 1
7-.8.
Operations Optimization Manager 1
8 9.
Planning and Development Services Divin 1
-- -----------------------------------------------------------------------------------------------------------sio--------Ma---------nager
9-10.
---------------------------------------------
Plant Maintenance Division Manaaer 1
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 29 of 38
Page 6 of 8
Central Contra Costa Sanitary District
Conflict of Interest Code — Page 4 of 5
084-822-223
Designated Positions Cate(
4-0-.11. Plant Operations Division Manager 1
44-.12. Purchasing and Materials Manager
13. Contracts & Procurement Administrator 2
42:14. Resource Recovery Program Manager 1
Consultants and Special Capacities 1
4-3-.15. Consultant (refer to Section I below)
4416. Employees or consultants hired as financial advisor or
underwriter
4�17. Employees on the Deferred Compensation Advisory
Committee
All Other Aaalicable Staff Positions
4,&-.18.
Associate Engineer
1
47-.19.
Construction Inspector
2,4
4-�20.
Contracts and Procurement Specialist 1/11
2
4-9-.21.
Contracts Specialist
2
2-0:22.
Development Services Supervisor
2,3
24-.23.
Environmental Compliance Inspector 1/11
2,4
2z?24.
Environmental Compliance Program Administrator
2, 4
23-.25.
Laboratory Program Administrator
2, 4
2�26.
Land Surveyor
2,3
25-.27.
Maintenance Planner
2
28.
Maintenance Supervisor
2
2-6.29.
Material Services Supervisor
2
27-.30.
Materials Specialist
2
2-8-.31.
Real Property Agent
2,3
2�32.
Risk Management Program Administrator
1
30-.33.
Senior Engineer
1
3-1--34.
Senior Environmental Compliance Inspector
2,4
32 35.
Superintendent, Operations/Maintenance
2
33:-36.
Utility Systems Engineer
1
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:
Makes a governmental decision whether to:
a. Approve a rate, rule, or regulation;
b. Adopt or enforce a law;
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 30 of 38
Page 7 of 8
Central Contra Costa Sanitary District
Conflict of Interest Code — Page 5 of 5
084-822-223
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 2 CCR
18700, et seq. 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 G and H above.
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.
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 31 of 38
Page 8 of 8
Attachment 2
RESOLUTION NO. 2023-XX
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 21st day of September 2023, by the Board of Directors of
the Central Contra Costa Sanitary District by the following vote:
AYES: Members:
NOES: Members:
ABSENT: Members:
COUNTERSIGNED:
Katie Young, CMC
Secretary of the District
Central Contra Costa Sanitary District
County of Contra Costa, State of California
Approved as to form:
Barbara Hockett
President of the Board of Directors
Central Contra Costa Sanitary District
County of Contra Costa, State of California
Kenton L. Alm, Esq.
Counsel for the District
September 5, 2023 Special ADMIN Committee Meeting Agenda Packet - Page 32 of 38