HomeMy WebLinkAbout11 Conflit of interest code Agenda Item # 11
TRUCKEE
Public Utility District
ACTION
To: Board of Directors
From: Michael D. Holley
Date: February 18, 2009
Subject: Adopt Revisions to the District's Conflict of Interest Code
1. WHY THIS MATTER IS BEFORE THE BOARD
The Political Reform Act requires every district to review its conflict-of-interest code biennially.
2. HISTORY
The District's conflict-of-interest code was reviewed as part of District Code Title 2,
Administration in a workshop held on August 6, 2008. A Public Hearing to receive comments
on the proposed revisions to the District conflict-of-interest code was held on September 17,
2008. A resolution to adopt District Code Title 2 revisions which included the conflict-of-
interest code was adopted on October 1, 2008. The revised conflict-of-interest code was
submitted to the Fair Political Practices Commission (FPPC).
3. NEW INFORMATION
The FPPC is working with districts and agencies to standardize the conflict-of-interest format.
The District needs to use this new format.
The District is not required to hold another public hearing before we adopt the amended
resolution for the revisions to the conflict-of-interest code.
Conflict-of-interest code revisions are:
• Remove Executive Secretary and Human Recourses Administrator from reporting as the
positions only ministerial functions
• Add the Contract Administrator as this position appears to participate in making
governmental decisions that could have a material financial effect on the decision maker
• Add wording for utility companies that supply power in regards to solar and renewable
power
4. FISCAL IMPACT
There is no fiscal impact with this matter.
5. RECOMMENDATION
Adopt the resolution amending the District's conflict-of-interest code.
o
Michael D. Holley
General Manager
-,.
Public Utility
I
District
P�
Resolution No. 2009 - XX
ADOPTING AMENDMENTS TO THE DISTRICT'S
CONFLICT OF INTEREST CODE
WHEREAS, the Board of Directors of the Truckee Donner Public Utility District wishes
to amend the District conflict-of-interest code; and
WHEREAS, the Truckee Donner Public Utility District has had, for a number of years, a
conflict-of-interest code, which it adopted as required by the Political Reform Act of
1974, Government Code Section 81000, et. seq.; and
WHEREAS, the conflict-of-interest code which must be reviewed bi-annually and
includes a list of directors, officers, employees and consultants who must disclose
certain financial interests and a list of those interests that must be disclosed; and
WHEREAS, a workshop was held on August 6, 2008 for the Board to review and
comment on the proposed changes to the conflict-of-interest code; and
WHEREAS, a Public Hearing was held on September 17, 2008 to consider public input
on the proposed changes to the conflict-of-interest code; and.
WHEREAS, a resolution was adopted on October 1, 2008 to accept the proposed
changes to the C conflict-of-interest code; and.
WHEREAS, the Fair Political Practices Commission has asked the District to use a
standard format which makes substantial changes to the newly revised conflict-of-
interest code; and
WHEREAS, the designated positions have been revised to remove the Executive
Secretary and Human Resources Administrator; the Contract Administrator has been
added; and disclosure categories reworded to clarify reporting of interests; and
WHEREAS, the District has available at its offices all the information upon which the
proposed amendments to the conflict-of-interest code are based; and
NOW THEREFORE, BE IT RESOLVED, that the Board of Directors does hereby adopt
the amended conflict-of-interest code.
1 Resolution 2009-XX, Conflict of Interest
PASSED AND ADOPTED by the Board of Directors of the Truckee Donner Public
Utility District in a meeting duly called and held within said District on the 18th day of
February 2009 by the following roll call vote:
AYES:
ABSTAIN:
NOES:
ABSENT:
TRUCKEE DONNER PUBLIC UTILITY DISTRICT
By
J. Ron Hemig, President
ATTEST:
Michael D. Holley, Clerk of the Board
2 Resolution 2009-XX, Conflict of Interest
California Fair Political Practices Commission -- Adopting a Conflict of Interest Code Page 1 of 2
algae g.
s Adopting a Conflict of Interest Code
Under the Political Reform Act(the "Act"), all public agencies are required to adopt a conflict of interest code (code). A code
FPPC Home Page designates positions required to file Statements of Economic Interests (Form 700), and assigns disclosure categories specifying
Commission the types of interests to be reported. The Form 700 is a public document intended to alert public officials and members of the
Agendas public to the types of financial interests that may create conflicts of interests.
j#wFPPC Regulations
The Political Reform Three Components
Act
:Candidates and Each code must contain the following:
Committees
Behested Payments
Form 801 1. Terms of the code
;;Form 802
Independent The terms of the code comprise the main body of a code and include such provisions as the manner to report financial interests,
Expenditures the disqualification procedures, etc. The FPPC recommends that agencies incorporate FPPC Regulation 18730 by reference
Interested Persons' because the type of information required to be in the main body of the code is quite complex and Regulation 18730 contains all of
11 Meetings these provisions. The FPPC will amend the regulation to include legislative and regulatory changes that affect the main body of
ijoLobbyists the code; therefore, this component of an agency's code is automatically in compliance with the Act. To view FPPC Regulation
;,Restrictions on 18730, click here.
Government Officials
and Employees 2. Designated positions
Ethics Orientation for
State Officials The code must specifically list positions that make or participate in making decisions. Typically, positions that involve voting on
Conflicts of Interest/ matters, negotiating contracts, or making recommendations on purchases without substantive review must be included in codes.
Form 700/COI Codes Positions listed in Government Code Section 87200 (i.e. City Councilmembers, Planning Commissioners, Members of the Board
Farm 700 of Supervisors, etc.)are not required to be included, because these positions automatically file Form 700.
„Section 1090 Study
,Can I Vote?Overview of An agency may review duty statements or enlist the assistance of department or division managers to determine which positions
the Conflicts Laws should be included.
;, Notification Guidelines for
Form 700 Filing Officers
SEI/Conflict Training/Code Review Seminars and 3. Disclosure Categories
Workshops
gency conflict-of- A primary purpose of the code is to require disclosure of those types of investments, interests in real property, sources of income
Interest Code Biennial and business positions that designated positions may affect in their decision-making. For example, the manager of an agency
Notice P 9 P Y 9• P 9 9 Y
Where to Find Copies of should be assigned full disclosure (all investments, interests in real property, sources of income and business positions) because
Form 700 Filed by Public the manager makes decisions that affect a wide range of interests. Alternatively, a purchasing agent whose decision-making is
Officials limited to the purchase of office supplies should only be assigned disclosure of investments, sources of income and business
dopting a Conflict of
Interest Code positions in entities that provide office supplies, equipment or merchandise of the type used by the agency.
http://www.fppc.ca.gov/index.html?id=228 2/12/2009
California Fair Political Practices Commission -- Adopting a Conflict of Interest Code Page 2 of 2
*Your Duty to File: The FPPC has developed model disclosure categories to assist state agencies in drafting or amending their conflict-of-interest
Economic Disclosure for codes. To view model categories, click here.
Public Officials g
Holding Two Positions
(updated 12/19/03) Code Approval
�opConflict of Interest
Training/Slide Show
;,;Exemptions from Codes are not effective until they have been approved by an agency's code reviewing body(section 87303). The code reviewing
Coverage by Conflict-of- body for city agencies is the city council. The code reviewing body for an agency wholly within a count Is the count board of
Interest Code Y Y 9 Y 9 Y g Y Y Y Y
:How To Get More Help supervisors. The code reviewing body for multi-county and state agencies is the FPPC. Contact the specific code reviewing body
CAB 1234 Ethics or the FPPC for further guidance regarding code adoption procedures.
Training for Local
Officials
Enforcement (Revised 5/03)
Audit Program
Workshops &Seminars
sLitigation
Mailing Lists
Links
Contacting the FPPC
..................
Copyright 2009
State of California FPPC.
All rights reserved.
http://www.fppc.ca.gov/index.html?id=228 2/12/2009
CHAPTER 2.52
CONFLICT OF INTEREST
Deleted:
Sections: Deleted:
Deleted:which
2.52.005 Financial Interests of Employees Deleted:
2.52.010 District's Conflict of Interest Code i Deleted:
2.52.015 Officials Who Manage Public Investments Deleted:it
2.52.020 Disclosure Categories and Designated Positions Deleted:¶
2.52.005 Financial Interests of Employees - It is the policy of the Board that Deleted:T
no employee of the District shall have any financial interest in any activity outside ;' Deleted:employees
the Truckee Donner Public Utility District which does business for profit with the �,;'!; Deleted:categories
Truckee Donner Public Utility District(District).
Deleted:C
2.52.010 District's Conflict of Interest Code - The Political Reform Act ji';; ;;; Deleted:
(Government Code Section 87100, et seq.) requires state and local government (i'';-ii;i; Deleted` I
a encies to adopt and promulgate conflict- f nterest codes. The Fair Political r Deleted:C
9 P P 9 -
Practices Commission has adopted a regulation (2 Cal. Code of Regs. 18730) Deleted:-
hat contains the terms of a standard conflict7;pfjnterest code, which can be a Deleted:Designated employees
incorporated by reference in an agency's code. After public notice and hearing Deleted:Truckee Donner Pubic
the standard code maybe amended by_the Fair Political Practices Commission ; utility
to conform to amendments in the Political Reform Act. Therefore,1he terms of 2 ,' ;, Deleted:
California Code of Regulations Section 18730 and any amendments to it duly tt;;;:' Deletes:employees
adopted b the Fair Political Practices Commission are hereby adopted and ,t!, Deleted:TDPUD
P Y Y P �' �,'
incorporated by reference. This regulation and Sections 2.52.015 — 2.52.020 14 i, Deleted:¶
designating officials and,positions and establishing disclosure Mguirements shall , Deleted:2.52.010.2 Investments
constitute the (gpnflict.�pf jnterest Bode for the Truckee Donner Public Utility ` and business positions in any
District District`` business and sources of income
1 listed in Column II are disclosable if:¶
2.52.010.1 Place of Filing — Individuals holding designated positions shall file +,;", Mich the investment
The business entity in
F ,��' which the investment or business
their statements with the District, which will make the statements available for , position is held or the source of
income is of the type which within the
p
ublic insp ection and reproduction Gov. Code §81008 tatements for all last two years has contracted with the
designated,positions will be retained by the istrict. , 1, District;or¶
c_ ----- ------- -------------.-----„-----__-__ _-_-. ..-_.--.... ...-. .._ ___ -- --------- ------- - _1 2.52.010.2(B) The business entity in
2.52.015 Officials Who Manage Public Investments The following positions which the investment or business
position is held or the source of
are not covered by this conflict-of-interest code because those individuals holding income is of the type which within the
these positions must file under Government Code Section 87200. These last two years has contracted to
positions are listed for information al purposes only: furnishsubcontractors
supplies any contract
as
subcontractors in any contract with
• Members of the Board of Directors the District.¶
• General Manager 2.52.010.3 Interests in real property
• District Treasurer are disclosable by a designated
employee if listed in Column II on the
• Assistant Treasure line applicable to his or her position.¶
• Consultants(Those that invest public funds.) Deleted:No public official of the
District,as specified in
Formatted:Bullets and Numbering
1
An individual holding one of the above-listed positions may contact the Fair Political
Practices Commission for assistance or written advice regarding their filing obligations if
they believe that their position has been categorized incorrectiv. The Fair Political
Practices Commission makes the final determination whether a position is covered by
Government Code Section 87200.
Deleted:,
,2.52.020 Designated Positions and Disclosure Categories„ Deleted: Shall make,participate in
j making or in any way attempt to use
The following positions are in Disclosure Category I: l', his or her official position to influence
A, esi Hated Positions
a government decision in which he or
Administrative Services Manager `{ she knows or has reason to know he
or she has a financial interest in
Assistant General Manager P; accordance with the Political Reform
Attorney Act.Public officials who manage
Electric Utility Manager/Power Supply Engineer/GIS ±'(, public investments shall file a
Public Information and Conservation Manager statement of economic interest to
disclose his or her financial interest in
Water Utility Manager accordance with the Political Reform
Consultants Act.It has been determined that the
positions listed below manage public
investments and will file a statement
The following positions are in Disclosure Category 11: of economic interest pursuant to
Government code Section 87200:(1)
Buyer/Clerk Directors,(2)General Manager,(3)
Contract Administrator District Treasurer and(4)Assistant
Customer Services Manager Treasurer.¶
Finance and Accounting Manager ' ¶
Geographic Information System Coordinator Deleted:and
Senior Accountant Analyst Deleted:Designated Positions
Technical Program Administrator Deleted:category l
The following positions are in Disclosure Category III: Formatted:Font:Bold
Conservation Program Administrator
Electric Engineer
Electric Superintendent
Electric System Engineer
Water Engineer Formatted:Font:11 pt
Water Superintendent Deleted: 1.Disclosure Categories.
Water System Engineer. Persons occupying positions in
Category I shall disclose all
investments,interests in real
*Consultants shall be included in the list of designated employees and shall property,sources of income and
disclose pursuant to the pisclosure Requirements in the Code,subject to the business positions held in business
-- entities located in or doing business
following limitations. The General Manager may determine, in writing, that a within the jurisdiction of the District.¶
particular consultant, although a_°designated positions" had been hired to perform ¶
2.Designated Positions¶
a range of duties that is limited in scope and thys is not required to fully comply a.Assistant General Manager¶
with the disclosure requirements described in this section. Such written `• b.consultants'¶
determination shall include a description of the consultant's duties, and based •`. .\ Deleted:broadest category
upon that description, a statement of the extent of disclosure requirements. The Deleted:occupying
General Manager's determination is a public record and shall be retained for Deleted:i
public inspection in the same manner and location as the conflict,; f:jnterest Deleted:of the Code
-code. _ _ _ _ Deleted:C
Deleted:
B. Disclosure Category I Deleted: I
Deleted:C
2
Individuals holding designated positions in Disclosure Category I must report their Formatted:Bullets and Numbering
interests in real property located within the jurisdiction or within two miles of the
boundaries of the jurisdiction or within two miles of any land owned or used by the s Gated:¶ n
agency: and investments and business positions in business entities, and income, 1.Disclosure Categories.Persons
including loans,gifts, and travel payment,from all sources. occupying positions in Category u
shall disclose any investments in,
sources of income from,and business
C. Disclosure Category II positions held in any business
Individuals holding designated positions in Disclosure Category II must report their providing services,supplies,
materials,or equipment of the type
interests in real property located within the jurisdiction or within two miles of the utilized by the District,and located in
boundaries of the jurisdiction or within two miles of any land owned or used by the r or doing business within the District.
agency: investments and business positions in business entities, and income, including Types of businesses for which
- disclosure is required include,but are
loans,gifts, and travel payment,from sources,that: not limited to the following:¶
a. provide supplies, materials, machinery, equipment, or vehicles of the type• a.Construction and building
utilized by the District, including, but not limited to: motor and specialty materials;¶
b.Office equipment and supplies;¶
vehicles and parts, petroleum products, construction and building materials c.Banks and savings and loan
(e.g.transformers, poles, wire, cable, pipes), and solar and renewable energy institutions;¶
products; d.Public utilities;¶
e.Financial audit services;¶
b. are contractors providing services utilized by the District, including, but limited f.Insurance services;¶
to: educational and medical services, information technology, insurance, g•Printing,reproduction or
photographic equipment,supplies
engineering, energy pricing, legal, and billing and collection; and services;¶
c. are persons with a permit pending before the District; h.Chemical supplies and
d. are utility companies or sources that supply power to the agency, including equipment¶
i.Motor vehicles and specialty
solar and renewable power; vehicles,parts and supplies;¶
e. engage in the business of brokering, acquiring, leasing, marketing, disposing, 1.Petroleum products;¶
k.Measuring and calculating
or owninq real property; equipment;¶
f. provide engineering, energy, or environmental assessment reports including I.Safety equipment and supplies;¶
those relating to pricing and demand; Or .m.Telephone and communication
services and equipment;¶
q. provide consulting services, including, but not limited to: legal, financial, n.Pipes,valves,fittings,pumps,
public relations, labor relations, and energy. tanks and similar materials;¶
o.Water quality testing equipment
and services;¶
D. Disclosure Category III p.Cathodic protection equipment,
Individuals holding designated positions in Disclosure Category III must report their services and supplies;¶
q.Engineering services;¶
investments and business positions in business entities, and income, including loans, j r.Employment and temporary help
gifts, and travel payments, from sources, that provide services, supplies, materials, ! agencies;¶
machinery, equipment, or vehicles of the type utilized by the Department to which the s.General and specialty equipment
rental;¶
filer has been assigned. t.Demolition,construction and
maintenance services;¶
u.Real estate sales or investment
firms,¶
v.Consulting services:legal,
collection,energy and power,
engineering,soils testing,water
treatment,data processing,
computers,financial,labor relations,
employee training,advertising,
communications,design,art work,
audiovisual,movie production,
planning,water pricing and demand,
economics,auditing,desalination,
architecture environmental,appraisal;¶
w.Information technology.¶
X.Computer hardware and software¶
2.Designated Positions¶
a.Administrative Services Manager¶
b.Buyer/Clerk¶
c.Conservation Programs 1
3
Page 3:[1]Deleted Barbara 2/12/2009 5:41:00 PM
B. Category II
1. Disclosure Categories. Persons occupying positions in Category II shall
disclose any investments in, sources of income from, and business positions held
in any business providing services, supplies, materials, or equipment of the type
utilized by the District, and located in or doing business within the District. Types
of businesses for which disclosure is required include, but are not limited to the
following:
a. Construction and building materials;
b. Office equipment and supplies;
c. Banks and savings and loan institutions;
d. Public utilities;
e. Financial audit services;
f. Insurance services;
g. Printing, reproduction or photographic equipment, supplies and
services;
h. Chemical supplies and equipment;
i. Motor vehicles and specialty vehicles, parts and supplies;
j. Petroleum products;
k. Measuring and calculating equipment;
I. Safety equipment and supplies;
m. Telephone and communication services and equipment;
n. Pipes, valves, fittings, pumps, tanks and similar materials;
o. Water quality testing equipment and services;
p. Cathodic protection equipment, services and supplies;
q. Engineering services;
r. Employment and temporary help agencies;
s. General and specialty equipment rental;
t. Demolition, construction and maintenance services;
u. Real estate sales or investment firms;
v. Consulting services: legal, collection, energy and power, engineering,
soils testing, water treatment, data processing, computers, financial,
labor relations, employee training, advertising, communications, design,
art work, audiovisual, movie production, planning, water pricing and
demand, economics, auditing, desalination, architecture environmental,
appraisal;
w. Information technology.
x. Computer hardware and software
2. Designated Positions
a. Administrative Services Manager
b. Buyer/Clerk
c. Conservation Programs Administrator
d. Customer Services Manager
e. Electric Utility Manager/Power Supply Manager
f. Electric System Engineer
g. Electric Engineer
h. Electric Superintendent
i. Finance & Accounting Manager
j. Geographical Information Services Coordinator
k. Human Resources Administrator
I. Power Supply Engineer
m. Public Information and Conservation Manager
n. Senior Accountant Analyst
o. Technical Program Administrator
p. Water Utility Manager
q. Water Superintendent
r. Water System Engineer
s. Water Engineer
C. Category III
1. Disclosure Categories, Persons occupying positions in Category III shall
disclose any investments in, sources of income from, and business positions held
in any business providing services, supplies, materials, or equipment of the type
utilized by the District, and located in or doing business within the District. Types
of businesses for which disclosure is required include, but are not limited to the
following:
a. Office equipment and supplies;
b. Printing, reproduction or photographic equipment, supplies and
services;
c. Employment and temporary help agencies
2. Designated Positions
a. Executive Secretary
b. Human Resources Administrator
CHAPTER 2.52
CONFLICT OF INTEREST
Sections:
2.52.005 Financial Interests of Employees
2.52.010 District's Conflict of Interest Code
2.52.015 Officials Who Manage Public Investments
2.52.020 Disclosure Categories and Designated Positions
2.52.005 Financial Interests of Employees - It is the policy of the Board that
no employee of the District shall have any financial interest in any activity outside
the Truckee Donner Public Utility District which does business for profit with the
Truckee Donner Public Utility District (District).
2.52.010 District's Conflict of Interest Code - The Political Reform Act
(Government Code Section 87100, et seq.) requires state and local government
agencies to adopt and promulgate conflict-of-interest codes. The Fair Political
Practices Commission has adopted a regulation (2 Cal. Code of Regs. 18730)
that contains the terms of a standard conflict-of-interest code, which can be
incorporated by reference in an agency's code. After public notice and hearing,
the standard code may be amended by the Fair Political Practices Commission
to conform to amendments in the Political Reform Act. Therefore, the terms of 2
California Code of Regulations Section 18730 and any amendments to it duly
adopted by the Fair Political Practices Commission are hereby adopted and
incorporated by reference. This regulation and Sections 2.52.015 — 2.52.020
designating officials and positions and establishing disclosure requirements shall
constitute the conflict-of-interest code for the Truckee Donner Public Utility
District (District).
2.52.010.1 Place of Filing — Individuals holding designated positions shall file
their statements with the District, which will make the statements available for
public inspection and reproduction (Gov. Code §81008). Statements for all
designated positions will be retained by the District.
2.52.015 Officials Who Manage Public Investments - The following positions
are not covered by this conflict-of-interest code because those individuals holding
these positions must file under Government Code Section 87200. These
positions are listed for information al purposes only:
• Members of the Board of Directors
• General Manager
• District Treasurer
• Assistant Treasure
• Consultants (Those that invest public funds.)
1
An individual holding one of the above-listed positions may contact the Fair Political
Practices Commission for assistance or written advice regarding their filing obligations if
they believe that their position has been categorized incorrectly. The Fair Political
Practices Commission makes the final determination whether a position is covered by
Government Code Section 87200.
2.52.020 Designated Positions and Disclosure Categories
A. Designated Positions
The following positions are in Disclosure Category I:
Administrative Services Manager
Assistant General Manager
Attorney
Electric Utility Manager/Power Supply Engineer/GIS
Public Information and Conservation Manager
Water Utility Manager
Consultants*
The following positions are in Disclosure Category II:
Buyer/Clerk
Contract Administrator
Customer Services Manager
Finance and Accounting Manager
Geographic Information System Coordinator
Senior Accountant Analyst
Technical Program Administrator
The following positions are in Disclosure Category III:
Conservation Program Administrator
Electric Engineer
Electric Superintendent
Electric System Engineer
Water Engineer
Water Superintendent
Water System Engineer
*Consultants shall be included in the list of designated employees and shall
disclose pursuant to the Disclosure Requirements in the Code, subject to the
following limitations. The General Manager may determine, in writing, that a
particular consultant, although a "designated position," had been hired to perform
a range of duties that is limited in scope and thus is not required to fully comply
with the disclosure requirements described in this section. Such written
determination shall include a description of the consultant's duties, and based
upon that description, a statement of the extent of disclosure requirements. 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.
B. Disclosure Category 1
2
Individuals holding designated positions in Disclosure Category I must report their
interests in real property located within the jurisdiction or within two miles of the
boundaries of the jurisdiction or within two miles of any land owned or used by the
agency; and investments and business positions in business entities, and income,
including loans, gifts, and travel payment, from all sources.
C. Disclosure Category II
Individuals holding designated positions in Disclosure Category II must report their
interests in real property located within the jurisdiction or within two miles of the
boundaries of the jurisdiction or within two miles of any land owned or used by the
agency; investments and business positions in business entities, and income, including
loans, gifts, and travel payment, from sources, that:
a. provide supplies, materials, machinery, equipment, or vehicles of the type
utilized by the District, including, but not limited to: motor and specialty
vehicles and parts, petroleum products, construction and building materials
(e.g. transformers, poles, wire, cable, pipes), and solar and renewable energy
products;
b. are contractors providing services utilized by the District, including, but limited
to: educational and medical services, information technology, insurance,
engineering, energy pricing, legal, and billing and collection;
c. are persons with a permit pending before the District;
d. are utility companies or sources that supply power to the agency, including
solar and renewable power;
e. engage in the business of brokering, acquiring, leasing, marketing, disposing,
or owning real property;
f. provide engineering, energy, or environmental assessment reports including
those relating to pricing and demand; or
g. provide consulting services, including, but not limited to: legal, financial,
public relations, labor relations, and energy.
D. Disclosure Category III
Individuals holding designated positions in Disclosure Category III must report their
investments and business positions in business entities, and income, including loans,
gifts, and travel payments, from sources, that provide services, supplies, materials,
machinery, equipment, or vehicles of the type utilized by the Department to which the
filer has been assigned.
3