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repealed.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prior regulations, ordinances and resolutions are hereby repealed.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