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HomeMy Public PortalAbout12081O R D I N A N C E NO. 12081 AN ORDINANCE, repealing Ordinance No. 11487 as adopted May 22, 2003, and enacting a new ordinance in lieu thereof, establishing a Conflict of Interest Policy for District trustees, officers and employees. WHEREAS, Section 12.030 of the District's Plan prohibits trustees, officers and employees of the District from having any interest in District contracts as more fully described in said Section; and WHEREAS, in 1978 the General Assembly of the State of Missouri adopted a comprehensive statutory provision regulating conflicts of interest by public officials and employees, including trustees, officers and employees of the District (Section 105.450 et seq. RSMO, as may be amended, hereinafter the "Missouri Conflict of Interest Act"); and WHEREAS, the Missouri Ethics Commission has ordered that each political subdivision must readopt an ordinance (biannually) at an open meeting by September 15, 2005 which establishes and makes public the method of disdaining potential conflicts of interest, and WHEREAS, on May 22, 2003, the Board of Trustees of the District adopted Ordinance No. 11487 which provided that the District trustees, officers and employees, in the conduct of their official actions and their relations, would be governed by Section 12.030 of the District’s Plan and the applicable provisions of the State Conflict of Interest Law, as amended from time to time; and WHEREAS, the Board of Trustees of the District is desirous of establishing a clear policy regulating conflicts of interest of trustees, officers and employees of the District and to comply with the order of the Missouri Ethics Commission. NOW, THEREFORE, BE IT ORDAINED BY THE BOARD OF TRUSTEES OF THE METROPOLITAN ST. LOUIS SEWER DISTRICT: Section One. Ordinance No. 11487, as adopted May 22, 2003, is hereby repealed. Section Two. The Conflict of Interest Policy, as marked "Exhibit A" and attached hereto and made a part hereof, is hereby adopted and enacted for all trustees, Officers and employees of The Metropolitan St. Louis Sewer District. Section Three. The provisions contained in this Ordinance shall take the place of and supersede the provisions of any District Regulations and any prior ordinances or resolutions relating to the same subject matter which are herewith inconsistent and such prior regulations, ordinances and resolutions are hereby repealed. The foregoing Ordinance was adopted on September 8, 2005. (EXHIBIT "A") NUMBER: H-1 PAGE 1 OF 8 ISSUED: 9/9/05 GENERAL MANAGEMENT POLICY/PROCEDURE APPROVED BY ____________________ EXECUTIVE DIRECTOR TOPIC: Conflict of Interest Policy SUPERSEDES PREVIOUS ISSUE DATED May 23, 2003 PURPOSE This policy is meant to promote an ethical business environment at The Metropolitan St. Louis Sewer District, and to ensure compliance with all state ethics requirements. POLICY To promote an ethical environment of unquestionable integrity and to comply with state requirements. The Metropolitan St. Louis Sewer District requires all employees, as well Board Members and Directors to refrain from conflicts of interest involving any and all business transactions involving the District. Furthermore, the District expects that all employees, Directors and Board members will use their best judgment in all business dealings with suppliers, contractors and vendors, that they will refrain from unethical actions, and that they will disclose all relevant outside employment and business transactions. This policy details all such requirements. PROCEDURE I. Conflict of Interest (a) Members of the Board of Trustees and all District employee must avoid all conflicts of interest and the appearance of impropriety when representing the District in business dealings or making any recommendations, which could affect the District. In addition, each employee must disclose any actual or apparent conflict of interest to his or her supervisor. Members of the Board of Trustees must disclose any actual or apparent conflict of interest to the full Board of Trustees. (b) It is not practical or possible to specify all activities which may create a conflict of interest; however, situations that are related to the procurement practice that should be avoided by members of the Board of Trustees and District employees include: (1) Owning any interest (other than nominal amounts of stock in publicly traded companies) in any supplier, service provider, consultant, or customer; (2) Consulting with or being an employee of any customer, lessor, contractor, service provider, consultant, or supplier (without prior written approval of his/her departmental director); (3) Purchasing goods and services from, or selling them to, the District or having a close relative do the same (unless done through an established program of disposal of surplus District property offered to the entire public); (4) Participation in outside activities which are so substantial that they interfere with an employee’s ability to devote appropriate time and attention to his or her job responsibilities with the District; and (5) Serving on the Board of Directors of any customer, lessor, contractor, service provider, consultant, or supplier. However, if avoidance is impractical, full disclosure must be made and the individual must abstain from participating in any votes concerning the entity in question. (c) In addition to all other requirements of this section, and in accordance with State Statutes, all members of the Board of Trustees and District employees may not: (1) Have any contracts with the District to perform any services outside of the scope of their regular employment; (2) Sell, rent, or lease any property to the District; and (3) Work for any person, corporation, agency, etc. in relation to any case, proceeding, application, etc. that they worked on during their employment with the District to the extent allowed by law. (d) For each of the individuals named in (c) above, written disclosure must be made of the following: (1) Any outside employment of above-named individuals, other than with the District. (2) All business relationships between each individual named above and their employer (other than the District) and any vendor to the District or any client of the District who receives money from the District for services rendered. These disclosures should reveal the nature of the business relationship, the amount of annual charges resulting from the relationship, and whether any of the charges relate, directly or indirectly to the business of the District. All of the above disclosures shall be made available to the public. Filing a materially false or misleading disclosure statement shall be cause for termination of any employee and shall constitute malfeasance in office for any trustee, subjecting the trustee to removal as provided in the Charter of the Metropolitan St. Louis Sewer District. (e) Additionally, the following acts are expressly prohibited for all members of the Board of Trustees and employees of the District: (1) Acting or refusing to act in any capacity in which he or she is empowered to act by reason of payment, offer to pay, or promise to pay, or receipt of gifts or anything of value. (2) Using or disclosing confidential information gained in the course of employment or term as a trustee with the intent to obtain financial gain for him or herself, his or her spouse or children, or any business with which they are associated, or for the purpose of extorting anything of value from another. (3) Acting in any matter which specifically gives special monetary benefit to the him or herself, his or her spouse or children, or any close family members. II. Business Relationships (a) The District considers its reputation for fairness and integrity one of its most valuable assets. Employees are expected to use good judgment in all dealings with individuals, service providers, consultants, suppliers, or firms which seek to become a supplier of goods or services to the District; and all customers of our services. To that end, member of the District's Board of Trustees or District employees must conduct their business affairs so that the District's integrity is unquestionable if the full details of those dealings become public. (b) To illustrate the high ethical standards expected of every member of the Board of Trustees and every employee of the District, the following conduct is expressly prohibited: (1) Receiving money, loans or other favors which may influence business decisions or compromise independent judgment; (2) Receiving gifts of more than a nominal value; a gift of nominal value is one that a company or individual routinely provides as part of their customary and normal business practices (all gifts must be reported in accordance with State ethics laws, if applicable) (3) Receiving any trip without the employee's supervisor's prior written approval; (4) Receiving kickbacks for obtaining business from the District; (5) Degrading the District’s reputation through any other activities which are of questionable integrity. (c) These guidelines are not intended to prevent the District from taking normal prompt payment discounts. They also do not prohibit receiving inexpensive gifts or services which are acceptable under normal and customary social circumstances, so long as the gratuity does not influence or compromise the conduct of the recipient. In addition, the guidelines do not prohibit normal business entertainment expenses. (d) If any member of the Board of Trustees or employee of the District is requested to make or accept a gift or payment that is prohibited or may even appear to be prohibited under this policy, the request and all surrounding circumstances should immediately be disclosed to the District’s General Counsel who will advise the appropriate course of action. III. Disciplinary Action Violations of the code involving employees will be handled on a case-by-case basis and disciplinary action could cover the full range of actions permitted under the District’s Civil Service Rules. Violations of the code involving members of the Board will be reviewed and handled by the Board. IV. Financial Disclosure Statement In accordance with Missouri State Statutes, the following positions are required to submit annually, a Financial Disclosure Statement to the State: a. Members of the Board of Trustees b. Executive Director c. General Counsel d. All Director-level positions e. Purchasing Manager f. Other personnel as identified by the Board of Trustees Such Financial Disclosure Statements shall be filed within 30 days of appointment for new appointees, and no later than May 1 of each calendar year for all others. V. Employees and Immediate Family Members, Selling to the District. (a) Employees and Immediate Family Members of the District: Employees of the District, and their immediate family, will not be permitted to sell goods and/or services to the District. Vendor's Conflict of Interest Questionnaire VENDOR’S CONFLICT OF INTEREST QUESTIONNAIRE 1. Name the individual or company requesting to do business with The Metropolitan St. Louis Sewer District (MSD): ___________________________________________________________________ 2. In the past two (2) years, has the individual or company named in 1. above (or any principal of such company, i.e. partner, officer, director, etc.) contributed cash or gifts in excess of $200.00 in value in the aggregate in any calendar year to any of the individuals or organizations listed on Attachment A hereto? Yes ____ No _____ If yes, describe in detail (date/amount/description). _________________________________________________________________ _________________________________________________________________ 3. In the past two (2) years, has the individual or company named in 1. above done business with any person listed in Attachment A and/or their respective companies. Yes _____ No _____ If yes, describe in detail (date/amount/description). __________________________________________________________________ __________________________________________________________________ 4. The undersigned certifies that the above information is true and correct to the best of his or her knowledge and belief. Dated this ____ day of __________________, 20__. Printed Name:_________________________________ Title: ________________________________________ Company: ____________________________________ Signature: ____________________________________ Attachment "A" Updated July 2005 Note – Attachment "A" contains a list of the MSD Trustees and their respective employer, MSD officers and Directors, and the organizations which each are individually associated with, as applicable. MSD Trustee Name of Firm or Company Affiliation Robert J. Baer (Retired) U.S. Bank Corp. Director Stifel-Nicholas Director United Van Lines, Canada Ltd. Director Vanliner Insurance Company Director Harold Crumpton (Retired) NAACP President Paula J. Carter Charitable Foundation Chairman AmerenUE CDC Board Member Dee Joyce-Hayes Sonnenschein, Nath & Rosenthal Partner Girls Scouts Board Member St. Louis For Kids Advisory Board Member Marian Rhodes St. Louis Cardinals Vice-President of Public Affairs & Employee Relations Lifeskills Foundation Board Member Family Resource Center Board Member Charles Karam RCW Corporation President RCW II Corporation President Eizmember Group, Inc. Vice-President Ellen Harshman Carl L. Harshman & Associates Corporate Secretary & Director St. Louis University Employee MSD Officer/Director Karl Tyminski Optimist Club of St. Louis Board Member Henry Woods Subdivision Board President Central Methodist College Instructor East Central College Instructor Robert Nichols Knights of Columbus, Crusader Council Member Knights of Columbus, St. Louis Assembly Member Misericordia Society Vice-President Catholic League Member Missouri Assoc. of Public Purchasing, Inc. Member National Institute of Governmental Purchasing, Inc. Member Institute for Supply Management Member Institute for Supply Management-St. Louis Member National Contract Management Assn. Member St. Louis Metro Area Public Purchasing Chapter of NIGP Member MSD Officer/Director – Cont'd Name of Firm or Company Affiliation Randy Hayman FOCUS St. Louis Member Bar Association of Metropolitan St. Louis Member Trailnet Director Brian Hoelscher American Society of Civil Engineers Member Engineers Club of St. Louis Director Water Environment Federation Member Missouri Water Environment Vice-Chair Association (Collection System Comm.) Jeff Theerman None Janice Zimmerman None Vicki Taylor Edwards None Gene Rhodes None Worris Levine, Jr. None David St. Pierre None