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HomeMy WebLinkAboutOCSD 98-05 (REPEALED)RESOLUTION NO. OCSD 98-5 ADOPTING 1998 CONFLICT OF INTEREST CODE A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING THE 1998 CONFLICT OF INTEREST CODE WHEREAS, the Political Reform Act of 1974 (Government Code Sections 81000 et seq.) (the "Acf') requires every local governmental agency to adopt a Conflict of Interest Code pursuant to the Act. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. That the Code entitled "1998 Conflict of Interest Code of the Orange County Sanitation District dated July 1, 1998, a copy of which is attached hereto as "Attachment 1" and by reference incorporated herein, be, and is hereby, approved and adopted for the District, subject to the approval thereof by the Board of Supervisors of the . County of Orange, which is the designated Code-reviewing body pursuant to Government Code Section 87303; and Section 2. That the Secretary of the District be, and is hereby, authorized and instructed to submit a copy of such Code to the Board of Supervisors of the County of Orange and to request said Board of Supervisors to approve said Code in accordance with Government Code Section 87303. PASSED AND ADOPTED at a Special Meeting of the Board of Directors held July 1, 1998. ATTEST: ~:-414 2091-300 62943_1 REPEALED BY OCSD 00-21 ATTACHMENT 1 1998 CONFLICT OF INTEREST CODE OF THE ORANGE COUNTY SANITATION DISTRICT Section 1: Purpose The purpose of this 1998 Conflict of Interest Code of the Orange County Sanitation District, is to comply with the requirements of the California Political Reform Act of 197 4 (Government Code Section 87100 et seq.), and particularly, the requirement to adopt and promulgate a local Conflict of Interest Code (Government Code Section 87300). Section 2: Designated Positions The positions listed on Exhibit "A," attached hereto and incorporated herein by reference, are Designated Positions. Officers and employees holding those positions are Designated Employees, and are deemed to make, or participate in the making of, decisions which may foreseeably have a material effect on a financial interest. Section 3: Disclosure Categories Each Designated Employee shall disclose on Fair Political Practices Commission Form 700, all required information for the following disclosure categories, and as specified for the Designated Position: Category I Category 11 - Category 111 - Category IV - Investments Interests in Real Property Income Business Positions Section 4: Incorporation by Reference of Section 18730 of Title 2 of the California Code of Regulations Pursuant to the authority of Section 18730 of Title 2 of the California Code of Regulations, the Regulations set forth in Title 2, Division 6, Chapter 7, Articles 1-3, and any amendments thereto, duly adopted by the Fair Political Practices Commission, along with the attached Exhibit "A" in which officers and employees of the District are designated . and disclosure categories are set forth, are hereby incorporated by reference and constitute the amended Conflict of Interest Code of the Orange County Sanitation District. 2091-300 62944_1 1 5/15/98 Section 5: Place of Filing for Statements of Economic Interest Persons occupying Designated Positions shall file statements of firiancial interest with the Orange County Sanitation District Board Secretary. Upon receipt of the statements of the Board of Directors and General Manager, the District's Board Secretary shall make and retain a copy and forward the original of these statements to the Clerk of the Board of Supervisors. Statements for all other persons occupying Designated Positions will be retained by the District. Section 6: Severability If any article, section, subsection, paragraph, subparagraph, sentence, clause or phrase of this Code is for any reason held to be invalid, unconstitutional or unenforceable, such decision shall not affect the validity of the remaining portions of this Code. The District declares that it would have adopted this Code and each article, section, subsection, paragraph, subparagraph, sentence, clause, and phrase thereof irrespective of the fact that any one or more of such portions of this Code be declared invalid, unconstitutional or unenforceable. Section 7: Effective Date This revised Code shall take effect upon adoption in recognition of the District being created effective July 1, 1998. This code shall be subject to the approval by the Board of Supervisors of the County of Orange, acting as the Code-reviewing body pursuant to Government Code Section 87303. 2091-300 62944_1 2 5/15/98 1998 CONFLICT OF INTEREST CODE EXHIBIT A DESIGNATED POSITIONS DESIGNATED POSITION General Manager Assistant General Manager General Counsel DISCLOSURE CATEGORIES Assistant to the General Manager Director of Communications Secretary to Board of Directors Director of Finance Controller Financial Manager Accounting Manager Principal Accountant Principal Financial Analyst Senior Financial Analyst Contracts and Purchasing Manager Contracts and Purchasing Supervisor Buyer · Warehouse Supervisor Director of Information Technology Plant Automation Manager Information Technology Supervisor Director of Human Resources Human Resources Manager Safety and Training Manager Director of General Services Administration Maintenance Manager Maintenance Supervisor Director of Operations and Maintenance Chief Operator Operations Manager Engineering Supervisor Senior Operations Supervisor Operations Supervisor Director of Technical Services Senior Regulatory Specialist Regulatory Specialist 2091-300 62944_1 II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II II Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill . IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV Ill IV 5/15/98 1998 CONFLICT OF INTEREST CODE EXHIBIT A DESIGNATED POSITIONS DESIGNATED POSITION DISCLOSURE CATEGORIES Environmental Compliance and Monitoring Manager Environmental Management Supervisor Laboratory Manager Laboratory Supervisor Senior Scientist Source Control Manager Source Control Supervisor Supervising Source Control Inspector Director of Engineering Engineering Manager Construction Manager Senior Engineer Foreman Supervising Construction Inspector Senior Construction Inspector Construction Inspector '*Consultants II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV II Ill IV '* The governing body of the District shall determine on a case-by-case basis whether a particular consultant is required to comply with the disclosure requirements in this section. If the governing body determines that a particular consultant must comply with the disclosure requirements of this section, the governing body shall notify the consultant in writing. The written notification shall include a description of the consultant's duties and, based upon those duties, a statement of the extent of disclosure requirements. The governing body's notification is a public record and shall be retained for public inspection by the Board Secretary. 2091-300 62944_1 5/15/98 § 18730. Provisions of Conflict of Interest Codes. (a) Incorporation by reference of the terms of this regulation along with the designation of employees and the formulation of disclosure cate- gories in the Appendix referred to below constitute the adoption and pro- mulgation of a conflict of interest code within the meaning of Govern- ment Code section 87300 or the amendment of a conflict of interest code within the meaning of Government Code section 87307 if the terms of this reg'Jlation are substituted for terms of a conflict of interest code al- ready in effect. A code so amended or adopted and promulgated requires the reporting of reportable items in a manner substantially equivalent to the requirements of article 2 of chapter 7 of the Political Reform Act. Government Code sections 81000. er seq. The requirements of a conflict of interest code are in addition to other requirements of the Political Re- form Act. such as the general prohibition against conflicts of interest con- tained in Government Code section 87100. and to other state or local laws pertaining to conflicts of interest. (b) The terms of a conflict of interest code amended or adopted and promulgated pursuant to this regulation are as follows: ( l) Section l. Definitions. The definitions contained in the Political Reform Act of 1974. regula- tions of the Fair Political Practices Commission (2 Cal. Code of Regs. sections 18100. et seq.). and any amendments to the Act or regulations. are incorporated by reference into this conflict of interest code. (2) Section 2. Designated Employees. The persons holding positions listed in the Appendix are designated employees. It has been determined that these persons make or participate in the making of decisions which may foreseeably have a material effect on financial interests. (3) Section 3. Disclosure Categories. This code does not establish any disclosure obligation for those desig- nated employees who are also specified in G.ovemment Code section 87200 if they are designated in this code in that same capacity or if the geographical jurisdiction of this agency is the same as or is wholly in- cluded within the jurisdiction in which those persons must report their fi- nancial interests pursuant to article 2 of chapter 7 of the Political Reform Act, Government Code sections 87200. et seq. In addition, this code does not establish any disclosure obligation for any designated employees who are designated in a conflict of interest code for another agency. if all of the following apply: (A) The g~ographical jurisdiction of this agency is the same as or is wholly included within the jurisdiction of the other agency; (B) The disclosure assigned in the code of the other agency is the same as that required under Article 2 of Chapter? of the Political Reform Act. Government Code section 87200; and (C) The filing officer is the same for both agencies.1 Such persons are covered by this code for disqualification purposes only. With respect to all other designated employees. the disclosure cate- gories set forth in the Appendix specify which kinds offmancial interests are reportable. Such a designated employee shall disclose in his or her statement of economic interests those financial interests he or she bas which are of the kind described in the disclosure categories to which he or she is assigned in the Appendix. It has been determined that the fman- cial interests set forth in a designated employee's disclosure categories are the kinds of financial interests which be or she foreseeably can affect materially through the conduct of his or her office. ( 4) Section 4. Statements of Economic Interests: Place of Filing. The code reviewing body shall instruct all designated employees with- in its code to file statements of economic interests with the agency or with the code reviewing body. as provided by the code reviewing body in the agen'cy's conflict of interest code.~ (5) Se~t~on 5. Statements of Economic Interests: Time of Filing. (A) In1t1al State~ents. All de~ignated employees employed by the agency on the effective date of this code. as originally adopted. promul- g~te~ and approved by the code reviewing body. shall file statements w1thm 30 da~s after the effective date of this code. Thereafter. each per- son already m a position when it is designated by an amendment to this code shall file an initial statement within 30 days after the effective date of the amendment. (~_) Assuming Office Statements. All persons assuming designated pos1Uons after the effective date of this code shall file statements within 30 days after assuming the designated positions. or if subject to State Sen- ate confirmation. 30 days after being nominated or appointed. (C) Annual Statements. All designated employees shall file statements no later than April l. . ~D) Leaving Office Statements. All persons who leave designated po- s1t1ons shall file statements within 30 davs after lea vine office (5 .5) Section 5 .5. Statements for Perso~s \\-bo Resign-Prior t~ Assum- ing Office. Any person who resigns within 12 months of initial appointment. or within 30 days of the date of notice provided by the filing officer to file an assuming office statement. is not deemed to have assumed office or left office. provided be or she did not make or participate in the making of. or use his or her position to influence any decision and did not receive or become entitled to receive any form of payment as a result ofhis or her appointment. Such persons shall not file either an assuming or leaving of- fice statement. (A) Any person who resigns a position within 30 days of the date of a notice from the filing officer shall do both of the following: (1) File a written resignation with the appointing power. and (2) File a written statement with the filing officer declaring under pen- alty of perjury that during the period between appointment and resigna- tion he or she did not make. participate in the making. or use the position to influence any decision of the agency or receive. or become entitled to receive. any form of payment by virtue of being appointed to the position. (6) Section 6. Contents of and Period Covered by Statements of Eco- nomic Interests. (A) Contents of Initial Statements. Initial statements shall disclose any reportable investments. interests in real property and business positions held on the effective date of the code and income received during the 12 months prior to the effective date of the code. (B) Contents of Assuming Office Statements. Assuming office statements shall disclose any reportable investments. interests in real property and business positions held on the date of assum- ing office or. if subject to State Senate confirmation or appointment. on the date ofnomination. and income received during the 12 months prior to the date of assuming office or the date ofbeing appointed ornom.inated. respectively. (C) Contents of Annual Statements. Annual statements shall disclose any reportable investments. interests in real property. income and busi- ness positions held or received during the previous calendar year pro- vided. however. that the period covered by an employee's first annual statement shall begin on .the effective date of the code or the date of as- suming office whichever is later. (0) Contents of Leaving Office Statements. Leaving office statements shall disclose reportable investments. inter- ests in real property. income and business positions held or received dur- ing the period between the closing date of the last statement filed and the date of leaving office. _..-(7) Section-,. Manner of Reporting. Statements of economic interests shall be made on forms prescribed by the Fair Political Practices Commission and supplied by the agency. and shall contain the following information: (A) Investment and Real Property Disclosure. When an investment or an interest in real property3 is required to be reported.~the statement shall contain the following: 1. A statement of the nature of the investment or interest: 2. The name of the business entity in which each investment is held. and a general description of the business activity in which the business entity is engaged: 3. The address or other precise location of the real property: 4. A statement whether the fair market value of the in vestment or inter- est in real property exceeds one thousand dollars (S 1.000). exceeds ten thousand dollars (S 10.000). or exceeds one hundred thousand dollars (S lC>0.000). . (B) Personal Income Disclosure. When personal income is required to be reported.5 the statement shall contain: 1. The name and address of each source of income aggregating two hundred fifty dollars ($250) or more in value. or fifty dollars (SSO) or more in value if the income was a gifL and a general description of the business activity. if any. of each source. 2. A statement whether the aggregate value of income from each source. or in the case of a loan. the highest amount owed to each source. was one thousand dollars (S 1.000) or less. greater than one thousand dol- lars (Sl.000). or greater than ten thousand dollars (Sl0.000): 3. A description of the consideration. if any. for which the income was received; 4. In the case of a gift. the name. address and business activity of the donor and any intermediary through which the gift was made: a descrip- tion of the gift: the amount or value of the gift: and the date on which the gift was received: . 5. In the case of a loan. the annual interest rate and the security. if any. given for the loan. (C) Business Entity Income Disclosure. When income of a business entity. including income of a sole proprietorship. is required to be re- ported.6 the statement shall contain: 1. The name. address. and a general description of the business activity of the business entity: 2. The name of every person from whom the business entity received payments if the filer·s pro rata share of gross receipts from such person was equal to or greater than ten thousand dollars (Sl0.000). (0) Business Position Disclosure. When business positions are re- quired to be reported. a designated employee shall list the name and ad- dress of each business entity in which he or she is a director. officer. part- ner. trustee. employee. or in which be or she bolds any position of management. a description of the business activity in which the business entity is engaged. and the designated employee's position with the busi- ness entity. (E) Acquisition or Disposal During Reporting Period. In the case of an annual or leaving office statement. if an investment or an interest in real property was partially or wholly acquiredordisposedof during the period covered by the statement. the statement shall contain the date of acquisi- tion or disposal. · ... (8) Section 8. Prohibition on Receipt of Honoraria. (A) No member of a state board or commission. and no designated em- ployee of a state or local government agency. shall accept any honorari- um from any source. if the member or employee would be required to re- port the receipt of income or gifts from that source on his or her statement of economic interests. This section shall not apply to any part-time mem- ber of the governing board of any public instimtion of higher education. unless the member is also an elected official. Subdivisions (a). (b ). and ( c) of Government Code Section 89501 shall apply to the prohibitions in this section . . This section sh.all not limit or prohibit payments. advances. or reim- bursements for travel and related lodging and subsistence authorized by Government Code Section 89506. (8. l) Section 8.1. Prohibition on Receipt of Gifts in Excess of $290. (A) No member of a state board or commission. and no designated em- ployee of a state or local government agency. shall accept gifts with a total value of more than $290 in a calendar year from any single source. if the member or employee would be required to report the receipt of income or gifts from that source on his or her statement of economic interests. This section shall not apply to any part-time member of the governing board of any public instimtion of higher education. unless the member is also an elected official. Subdivisions ( e ), (f). and (g) of Government Code Section 89503 shall apply to the prohibitions in this section. (9) Section 9. Disqualification. No designated employee shall make. participate in making. or in any way attempt to use his or her official position to influence the making of any governmental decision which be or she knows or bas reason to know will have a reasonably foreseeable material f mancial effect distinguish- able from its effect on the public generally. on the official or a member of bis or her immediate family or on: (A) Any business entity in which the designated employee has a direct or indirect investment worth one thousand dollars (Sl.000) or more; · (8) Any real property in which the designated employee bas a direct or indirect interest worth one thousand dollars (S 1.000) or more: (C) Any source of income. other than gifts and other than loans by a commercial lending instimtion in the regular course of business on terms available to t11e public without regard to official status. aggregating two hundred fifty dollars ($250) or more in value provided to. received by or s)romised to the designated employee within 12 months prior to the time when the decision is made: (D) Any business entity in which the designated employee is a director. officer. partner. trustee. employee. or holds any position of management or (E) Any donor of. or any intermediary or agent for a donor of. a gift or gifts aggregating $290 or more provided to. received by. or promised to the designated employee within 12 months prior to the time when the decision is made. (9.3) Section 9.3. Legally Required Participation. No designated employee shall be prevented from making or participat- ing in the making of any decision to the extent his or her participation is legally required for the decision to be made. The fact that the vote of a designated employee who is on a voting body is needed to break a tie does not make his or her participation legally required for purposes of this sec- tion. (9.5) Section 9.5. Disqualification of State Officers and Employees. In addition to the general disqualification provisions of section 9. no state administrative official shall make. participate in making. or use bis or her official position to influence any governmental decision directly relating to any contract where the state administrative official knows or has reason to know that any party to the contract is a person with whom the state administrative official. or any member of his or her immediate family has. within 12 months prior to the time when the official action is to be taken: (A) Engaged in a business transaction or transactions on terms not available to members of the public. regarding any investment or interest in real property: or (B) Engaged in a business transaction or transactions on terms not available to members of the public regarding the rendering of goods or services totaling in value one thousand dollars (Sl.000) or more. (10) Section 10. Manner of Disqualification. When a designated employee detenllines that he or she should not make a governmental decision because he or she has a disqualifying in- terest in it. the determination not to act must be accompanied by disclo- sure of the disqualifying interest. In the case of a voting body. this deter- mination and disclosure shall be made part of the agency's official record: in the case of a designated employee who is the head of an agency. this determination and disclosure shall be made in writing to bis or her appointing authority: and in the case of other designated employees. this determination and disclosure shall be made in writing to the designated employee's supervisor. ( 11) Section 11. Assistance of the Com.mission and Counsel. Any designated employee who is unsure of his or her duties under this code may request assistance from the Fair Political Practices Commis- sion pursuant to Government Code section 831 l 4or from the attorney for his or her.agency. provided that nothing in this section requires the attor- ney for the agency to issue any formal or informal opinion. (12) Section 12. Violations. This code has the force and effect of law. Designated employees vio- lating any provision of this code are subject to the administrative. crimi- nal and civil sanctions provided in the Political Reform Act. Government Code sections 81000-91015. In addition. a decision in relation to which a violation of the disqualification provisions of this code or of Govern- ment Code section 87100 or 87 450 has occurred may be set aside as void pursuant to Government Code section 91003. NoTE: Authority cited: Section 83112. Government Code. Reference: Sections 87300-87302. 89501. 89502. 89503 and 89504. Government Code.