04/22/2010 Special Meeting
CITY COUNCIL AGENDA
Notice is hereby given that the City Council of the City of Paris shall meet
at 6:00 p.m, on Thursday, April 22, 2010. The meeting will be held at
Library Community Rooin, 326 S. Main Street, in Paris, Texas. The matte
and acted upon are as follows:
1. Call meeting to order.
2. Deliberate on adoption of a code of ethics for City Council,
committees, and employees.
3. Adjaurnment.
Certification
I certify tliat the above notice of ineeting was posted on the bulletin board in the City
St. SE, Paris, Texas, no later than 6:00 p.m. on April 16, 2010.
Janice Ellis, City Clerk
Saecial Accommodations
This facility is wheelchair accessible and accessible parking spaces are available. R
accommodations or interpretive services must be made forty-eight (48) hours prior to tl
contact Janice Ellis at (903) 784-9248 or (903) 784-9291 for assistance,
specia sesston
ie Pari Public
to be d scussed
Il Annex,l
issions,
1150 First
r special
. Please
Quotations on
Leadership, Governance, and Pol tics
Quotations: Leadership, governance, politics
Leadership is action, not position.
- Donald H. McGannon, businessman
Lives of great people remind us we can make our lives sublime and, departing,
in the sand of time.
- Henry Wadsworth Longfellow, "poet (1807-1882)
[Because power corrupts] Society's demands for moral authority and character in rease a
importance of the position increases.
- John Adams, American Founding Father and second U.S. president (1735-1826
Do not follow where the path may lead. Go instead where there is no path and
- Unknown
The final test of a leader is that he leaves behind him in other men the conviction nd will o carry on.
- Walter Lippmann, American journalist, author and public philosopher (1889-19 4)
If we lived in a state where virtue was profitable, common sense would make us s intly. B t since we
see that avarice, anger, pride and stupidity commonly profit far beyond charity, odesty, 'ustice and
thought, perhaps we must stand fast a little, even at the risk of being heroes.
- Sir Thomas More in the movie A Man For All Seasons (1966, screenplay by Rob rt Bolt)
Few men have virtue to withstand the highest bidder.
- George Washington, American Founding Father and war hero, first U.S.
The people have a right, an indisputable, unalienable, indefeasible, divine right to
and envied kind of knowledge - I mean of the character and conduct of their ruler
- John Adams, American Founding Father and second U.S. president (1735-1826.
behii
(1734~1799)
footprints
the
dreaded
Character is the only secure foundation of the state.
- Calvin Coolidge, 30th American president (1872-1933)
A man who wants to act virtuously in every way necessarily comes to grief amon
not virtuous.
- Niccolo Machiavelli, Florentine dramatist, political analyst and adviser (1469-1
so
7)
who are
With all the power that a president has, the most important thing to bear in mind s this: u must not
give power to a man unless, above everything else, he has character. Character is the mo important
qualification the president of the United States can have.
- Richard Nixon, 37th U.S. president (1913-1994), from N ad for Barry Goldwat rs presi ential
campaign in 1964
All leaders must face some crisis where their own strength of character is the e
- Richard Reeves, 20th-century American journalist and essayist
Y.
t~
~
~
In a president, character is everything. A president doesn't have to be brilliant... e doesr
be clever; you can hire clever... You can hire pragmatic, and you can buy and bri g in poli
But you cant buy courage and decency, you cant rent a strong moral sense. A pre ident rr
those things with him. He needs to have, in that much maligned word, but a good one nor
vision of the future he wishes to create.. But a vision is worth little if a president doesn't h
character - the courage and heart - to see it through.
- Peggy Noonan, 20th century American author, speech writer for U.S. President onald I
Faced with crisis, the man of character falls back upon himself.
- Charles DeGaulle, French general and president, founder of the Fifth Republic ( 890-19
Politics ruins the character.
- Otto von Bismarck, German chancellor, founder of the German nation srate (18 5-1
Character is power.
- Booker T. Washington, American educator (1856-1915)
Nearly all men can stand adversity, but if you want to test a mans character, give him
- Abraham Lincoln, 16th American president (1809-1865)
have to
wonks.
~t bring
heless, a
e the
r.
It is a grand mistake to think of being great without goodness and I pronounce it s certai that there
was never a truly great man that was not at the same time truly virtuous.
- Benjamin Franklin, American Founding Father, inventor and statesman (1706-1 90)
Every person in America has done or said something that would keep him or her f om bei president.
Maybe a nation that consumes as much booze and dope as we do and has our kin of divo ce
statistics should pipe down about character issues.
- P.J. ORouke, 20th-century American humorist and essayist
Leaders are visionaries with a poorly developed sense of fear and no concept of
them. They make the impossible happen.
- Dr. Robert Jarvik, 20th-century American heart surgeon
Political interest [can] never be separated in the long run from moral right.
- Thomas Jefferson, American Founding Father and U.S. president (1743-1826),
Monroe, 1806
I don't like people who are in politics for themselves and not for others. You want
into show business."
- Elvis Presley, American rock 'n' roll icon (1935-1977)
There is a secret pride in every human heart that revolts at tyranny. You may
individual, but you cannot make him respect you.
- William Hazlitt, English essayist and literary critic (1778-1830)
You can only govern men by serving them.
- Victor Cousin, French philosopher (1792-1867)
A politician would do well to remember that he has to live with his conscience
with his constituents.
- Melvin R. Laird, 20th-century American secretary of defense
odds ainst
Ter to ames
~at, yo can go
and di
an
r than I
he does
~
Politics, as a practice, whatever its professions, has always been the systematic o
hatreds.
- Henry Adams, American historian, memoirist and diplomat (1838-1918)
An election is a moral horror, as bad as battle except for the blood; a mud bath f r every
concerned.
- George Be~nard Shaw, Anglo-Irish dramatist and wit (1856-1950)
Politics, n. A strife of interests masquerading as a contest of principles."
- Ambrose Bierce, American journalist and writer (1842-1914?), from the Devil's
Since a politician never believes what he says, he is surprised when others believe~him.
- Charles de Gaulle, French general and president, founder of the Fifth Republic ( 890-1
Washington is a place where men praise courage and act on elaborate personal co
calculations.
- John Kenneth Galbraith, North American economist, novelist and diplomat (b. 1
of
Never create by law what can be accomplished by morality.
- Charles-Louis de Secondat Baron de Montesquieu, French jurist and political phi osophe
Bad administration, to be sure, can destroy good policy; but good administration
policy.
- Adlai Stevenson, American politician and presidential candidate (1900-1965)
How far would Moses have gone if he had taken a poll in Egypt?
- Harry S. Truman, 33rd American president (1884-1972)
Politics is the art of controlling the environment.
- Hunter S. Thomson, 20th-century American journalist and saririst
Democracy becomes a government of bullies, tempered by editors.
- Ralph Waldo Emerson, American essayist, public philosopher and poet (1803-1
bad
Ethics In City Governme
r;
ETHICS IN CITY GOVERNMENT
A Presentation to the
Department Directors, Deputy Directors,
Assistant Directors, Deputy Assistant Directi
Senior Staff, Mayor's Executive Staff, anc
Members of
City Boards and Commissions
January 28, 2006, and
February 8, 2006
by the
City of Houston Legal Department
Arturo G. Michel, City Attorney
Presented by:
Don Cheatham
Senior Assistant City Attorney
Chief, General Counsel Division
irs,
6
ETHICS IN CITY GOVERNMENT
Ethics - a set of principles of right or good behavior; a theory or
mora/ values; the rules or standards of a person or the me
profession.
Webster's ll New Co//ege Dictionary Q1999)
The following is an outline of ethics provisions found in the City harte
Ordinances, City administrative rules, and related state laws. The read r shoul
familiar with these various provisions. This outline is intended for us by DDirectors, Deputy Directors, other senior personnel, and the Chairs (or Ex cutive
if applicable) and members of City Boards and Commissions. This outlin is onl~
to provide general guidance regarding situations in which ethical is ues n
Situations that actually arise tend to be fact intensive, and specific legal c unsel
sought as may be appropriate.
The City Charter and Code of Ordinances may be acc ssed
www.houstontx.gov. City administrative rules, including Executi e O
Administrative Procedures promulgated by the Mayor are available on t e Cit
at www.choice.net. While it is recommended that you consult the Leg I Der
connection with any ethics issue or matter, the state statutes referenced n this
available online at www.capitol.state.tx.us/statutes/statutes.html.
TERMINOLOGY
State statutes, the City Charter and the Code of Ordinances o en L
terms to delineate those officers or persons who may come within tExamples are:
Terms
"Public servant"
"Municipal officer"
"Local public official"
"Local government officer"
"Public official"
As a result, it is often first necessary to determine exactly whi
included within a given regulation. The answers may vary depending or
duties of the officer.
Source law
Texas Penal Code, Chs. 36, 3
Texas Local Government Cod
, Ch. 1
Texas Local Government Cod
, Ch. 1
Texas Local Government Cod
, Ch. 1
Texas Government Code, Ch.
73
K:\ETH ICS\RDC3116A
of
a
Code of
become
iartment
irectors,
arise.
uld be
iline at
,rs and
intranet
tment in
tline are
different
15
'1
'6
;h per~ns ARE
the fu ctions or
PAGE 2
~
STATE LAWS RELATING TO ETHICS
Chapter 36, Texas Penal Code (Bribery & Corrupt Influence) I
This Chapteraddresses a numberof subjects, including bribery.
honoraria are subjects that most frequently raise inquiries. Cha
public servants and fo any otherperson in whose welfare th,
a direct and substantial interest and has been held to incluc
child.
Public Servant
The term "public servant," as used in the Penal Code, means
selected, appointed, employed, or otherwise designated as onE
even if he or she has not yet qualified for office or assumed his i
(A) An officer, employee, or agent of government;
(B) A juror or grand juror;
(C) An arbitrator, referee, or other person who is au
private written agreement to hear or detern
controversy;
(D) An attorney at law or notary public when
performance of a governmental function;
(E) A candidate for nomination or election to public
(F) A person who is performing a governmental
claim of right although he is not legally qualifi
Benefit
The term "benefit", as used in this chapter of the Penal Code is
. anything reasonably regarded as pecuniary
pecuniary advantage, including benefit to any other I
whose welfare the beneficiary has a direct and sL
interest." (Pen. C., § 36.01(3))
Closely related is the giving or receiving of an honoraria to or b!
The term "honorarium" is not defined in the Penal Code but is ger
to encompass the following:
K:\ETHICS\RDC3116A
a
36
~ persoi
of the
r her d~
gifts and
Ktends to
:iary has
se and a
elected,
ollowing,
ties:
irized
y law or
a a
ause or
:ipati
g in the
e; or
nctio
under a
to d
so.
;fined
s:
or
in
a put
rally
servant.
ierstood
PAG E 3
~
a free gift; a gratuitous payment, as distinguished
compensation for a service; a voluntary payment for that
remuneration could be collected by law.
im hire~or
• which o
The Texas Ethics Commission has issued a number of opinions n the
"benefits," including whether certain items constitute an "hon rarium
examples are shown below:
• The receipt of a plaque could not reasonably be regarded as
advantage and is therefore not a benefit for purposes of hapte
Penal Code. Tex. Ethics Comm. Op. No. 36 (1992)
• A public servant may not accept free membership in an organ
consideration for a speech. Tex. Ethics Comm. Op. No. 7(199
,ubject of
" Some
uniary
of the
n as
• Promotional or commemorative items of minimal value suc as ca s, coffee
mugs, tee shirts and key rings, do not constitute imprope "bene t" if such
items are not solicited and not offered or accepted in e chang for any
action or inaction on part of public servants. Tex. Ethics C mm. . No. 61
(1992)
• A legislator may not accept an engraved clock in apprecia
ion for
speech
even if the donor is required to report the gift under the lo
by stat
te, if the
legislator would not have been asked to give the spee
h exce
t for his
official position. Tex. Ethics Comm. Op. No. 97 (1992)
• A public servant may accept an honorarium for performi
g servi
es if the
public servant's official status was not a deciding factor i
the d
cision to
request the public servant to perform those services. Tex.
thics C
mm. Op.
No. 305 (1996)
Honorarium
• Section 36.07 prohibits public servants from accepting a hono rium for
services associated with their being public servants (speaki g enga ements,
etc.
• There is an exception for transportation, food, and lodgin when service
is rendered such as addressing an audience. Tex. Ethics Comm Op. No.
273(1995).
• There is no general prohibition against a legislator servii
a private entity; however, the legislator should be aware
K:\ETH ICS\RDC3116A
on th board of
f the r trictions
PAGE 4
- 9
contained in Chapter 36 of the Penal Code. Tex. Ethics
(1994).
Gifts to Public Servant - In General
• Section 36.08 prohibits a public servant from soliciting or ac epting
persons over whom the public servant has business, offic al, regt
jurisdictional authority.
• Section 36.09 makes it an offense to offer gifts to a public servan
• An offense under either section is a C/ass A misdemean r.
Gifts to Public Servant - Exceptions
• Section 36.10 sets out limited excepfions to the proh
Sections 36.08 and 36.09, as follows:
vo. 22s
from
y, or
ined in
• A fee prescribed by law to be received by a publi serv t or any
benefit to which the public servant is lawfully entitle or for hich he
gives legitimate consideration in a capacity other han a a public
servant;
• A gift or other benefit conferred on account of kins ip or a ersonal,
professional, or business relationship independe t of t e official
status of the recipient; or
• A benefit to a public servant required to file a tatem nt under
Chapter 572, Government Code, or a report under itle 1 Election
Code, that is derived from a function in honor or a precia n of the
recipient if:
• the benefit and the source of any benefit in excess of $50 is
reported in the statement; and
K:\ETH ICS\RDC3116A
• the benefit is used solely to defray the exper
the performance of duties or activities in a
office which are nonreimbursable by the
subdivision;
A political contribution as defined by Title 15, E
es that ccrue in
nectio with the
tate o political
on Co ;
PAGE 5
. ~ ;1
• A gift, award, or memento to a member of the legisl tive or xecutive
branch that is required to be reported unde Cha er 305,
Government Code; or
• An item with a value of less than $50, excluding cas or a n gotiable
instrument as described by Section 3.104, Busine s& C mmerce
Code; or
• An item issued by a govemmental entity that al ows t use of
property or facilities owned, leased, or operated by t e gov nmental
entity.
• Section 36.08 (Gift to Public Servant) does not apply o food lodging,
transportation or entertainment accepted as a guest and, if the onee is
required to report those items, reported by the donee in accord nce with
that law.
• Section 36.09 (Offering Gift to Public Servant) does no appl to food,
lodging, transportation or entertainment accepted as a uest a d, if the
donor is required to report those items, reported b the onor in
accordance with that law.
Advisory Opinions
The Texas Ethics Commission is authorized to issue advisory o
Chapter 36 upon which public servants may rely, and action t
servant in reliance on an opinion from that agency is a defens
Staff attorneys of the Commission are available by telephone at
Advisory opinions can be reviewed on the agency
www. et h i cs . state. tx. u s.
K:\ETHICS\RDC3116A
iions garding
;en b a public
to pro ecution.
-800- 5-8506.
we site at
PAGE 6
i~
II. Chapter 37, Texas Penal Code (Perjury & Other Fals
Governmenf Records
Chapter 37 of the Texas Penal Code is titled "Perjury and Other I
is included because it deals with certain offenses relating to a"gov
which is defined in Section 37.01(2) to mean:
(A) Anything belonging to, received by, or kept by
information, including a court record;
(B) Anything required by law to be kept by others
government;
pation)
=alsific tion" and
ernmerit record,"
gover ent for
r infor ation of
(C) A license, certificate, permit, seal, title, letter of p tent, r similar
document issued by government, by another state, or by t e Unit d States;
(D) A standard proof of motor vehicle liability insurance f rm deE
Section 601.081, Transportation Code, a certificate of an in urance
described by Section 601.083 of that code, a document purpor
such a form or certificate that is not issued by an insurer a thorizE
motor vehicle liability insurance in this state, an electroni submi
form described by Section 502.153(i), Transportation Cod , or an
of financial responsibility described by Section 601.053 of that co
(E) An official ballot or other election record.
Making and Preserving Government Records
Section 37.10, Tampering with Governmental Record, declares
that a person commits a penal offense if he or she:
(1) Knowingly makes a false entry in, or false alteration
record;
s
;ribed by
;ompany
ng to be
d to write
sion in a
avidence
le; or
(a)
(2) Makes, presents, or uses any record, document, or thin with k owledge
of its falsity and with intent that it be taken as a genui e gov rnmental
record;
(3) Intentionally destroys, conceals, removes, or otherwise impairs he verity,
legibility, or availability of a governmental record;
(4) Possesses, sells, or offers to sell a governmental
governmental record form with intent that it be used unl
K:\ETH ICS\RDC3116A
,
a blank
PAGE 7
i^
to
(5) Makes, presents, or uses a governmental record with
falsity; or
(6) Possesses, sells, or offers to sell a governmental
governmental record form with knowledge that it was ok
Type of Offense; Punishment
of its
:cord ~ a blank
ined u awfully.
• Except for those actions described in items (a)(2) and )(3), a offense
under Section 37.10 is a Class A misdemeanor, punis able b a$4000
fine, confinement in jail for a year or both, unless the pe son's i tent is to
defraud or harm another, in which event the offense is a tate jai felony.
• An offense under this section is a felony of the third degr
e(imp
sonment
of 2 to 10 years plus a fne not to exceed $10,000) if it is
hown
trial that
the government record was a license, certificate, p
rmit,
al, title,
letter of pafent, or similar document issued by govern
ent,
nless the
actor's intent is to defraud or harm another, in which ev
nt the
ffense is
a felony of the second degree (imprisonment for 2 to 20
years
lus a fine
not to exceed $10,000).
Destruction or Transfer of Government Records
The destruction or transfer of a government record under the au hority f Section
441.204 of the Texas Government Code is an exception to the pplicat n of this
section of the Penal Code and is lawful. Chapter 441 is discuss d in fu er detail
in section V below.
Affirmative Defenses
• It is also an affirmative defense to prosecution for p ssessi n under
item (a)(6) above, that the possession occurred in the a tual di harge of
official duties as a public servant.
• Also, it is a defense to prosecution under subsection (a)(1) (a)(2) or
(a)(5) that the false entry or false information could hav no eff ct on the
governmenYs purpose for requiring the government recor .
Impersonating Public Servant
Finally, a person commits an offense under Section 37.11,
Servant, if he or she:
K:\ETH ICS\RDC3116A
Public
PAGE 8
1 13
(1) Impersonates a public servant with intent to induce an ther to
his or her pretended official authority or to rely on his or her retenc
acts; or
IV.
(2) Knowingly purports to exercise any function of a public servE
public office, including that of a judge and court, and the ositioi
through which he or she purports to exercise a function o a publ
or public office has no lawful existence under the constituti n or IE
state or of the United States.
An offense under this section is a felony of the third degree
more than 10 nor less than 2 years).
Chapter 145, Texas Local Government Code
• In 2003, the 78`h Texas Legislature amended the Local
by adding a new Chapter 145, which requires a"muni
a personal financial disclosure statement with the City Se
April 30'h of each calendar year.
.
.
.
.
Although passed in 2003, the law became effective Jan ary 1,
the initial reports required were due no later than April 30 f that
vernin body or
, is no included
"Municipal officer" means the mayor, a member of the go~erning~~ody, the
municipal attorney, or the city manager of a municipality ec. 1.002.
• As applied to Houston, only the Mayor, members of~the Ci~Council,
and the City Attorney are required to fle this disclo ure st ement.
• The City Controller, not being a member of the
otherwise covered by the aforementioned definii
within the statute.
The personal financial statement must disclose the m nicipa
required financial information for the preceding calendar ar.
Failure to file the report is a Class B misdemeanor ($20~0 fine/)
jail/both).
Chapter 171, Texas Local Government Code
• This Chapter prohibits "local public officials" from ta
vote, or decision in which they have a substantial inte
K:\ETHICS\RDC3116A
bmit to
official
torofa
or office
servant
is of this
t not
nt Code
!e' to file
ir before
and
officer's
6 months
part in debate,
PAGE 9
1 14
• The term "local public officiaf' means "a member of the c
another officer, whether elected, appointed, paid, or un
municipality, or other local governmental entity
responsibilities beyond those that are advisory in nat
V.
• The substantial interest at issue under this statute m y
ownership of equity in a business entity (10% or $15,000 f ir
receipt of salary or other compensation from a busines
more), or ownership of an interest in real property ($2500 .
• The substantial interest rule extends not only to interests
public official, but also to interests held by his or her s
c/ose relatives, within the firsf degree of consangi
(b/ood or marriage).
rerni
body or
iid, o
any . . .
ho
ercises
„
e.
aris
through
mar
t value),
entit
(10% or
;Id b
the local
ruse
nd their
iity
affinity
• Chapter 171 is cumulative of the Charter, meaning hat b h apply.
Therefore, compliance with Chapter 171 neither excuses mplian with the
Charter nor allows the City to do business with firms in which Council
Member has a direct or indirect pecuniary interest.
• Where Chapter 171 is applicable, the public official must file a affidavit
with the City Secretary before the vote or action is tak n and ay not
participate in the vote, action, or debate on the matter. S e§ 171.004
• A violation of Section 171.004 is a C/ass A
$4000, one year in jail or both).
up to
• Chapter 171 does not prohibit uncompensated service n the ard of a
private, nonproft corporation. However, its operation can b trigge ed by the
compensated service of the public official or a covered rel tive.
Chapter 176, Texas Local Government Code
• The 79'h Texas Legislature amended the Local Govern
by adding a new Chapter 176.
• This law requires a"localgovernmentofficer"to file a d
the City Secretary if the officer or certain members of
(parents, children, spouse, in-laws), have either
relationships with respect to a person who has contrE
contract, with the City:
c
os
the
, or
Has an employment or other business relationship with~that p~:
results in the officer or family member receiving taxable i come; r
K:\ETHICS\RDC3116A
17)
in 2005
)rm with
s family
Alowing
eeks to
;on that
PAGE 10
• Has received one or more gifts from that person, other t an g
lodging, transportation or entertainment accepted as a gu st, tl
aggregate value of more than $250 in the 12-month peri d pri
date the officer becomes aware that:
(A) A contract between the City and the p~rson
executed; or
(B) The City is considering doing business with
• In Chapter 176:
of food,
have an
,ding the
been
"Local government officer" means a member of the go eming ody of a
localgovernmententityoradirector,superintendent,admini trator, resident
or other person designated as the executive officer of the I cal go ernment
entity; and
"Loca/ government entity" means the City or a I cal go ernment
corporation, board, commission, district or authority to whi h a me ber has
been appointed by the Mayor or the City Council. Organiz tions s h as the
Texas Municipal League are excluded from this definition.
• The state and its political subdivisions, the federal govern ent a foreign
governments are excluded from the requirements of Cha ter 176. County
governments, school districts, junior college districts ARE i clude within its
provisions, however.
• Chapter 176 applies to a person who contracts or seeks t contr ct for the
sale or purchase of property, goods, or services with a I cal go ernment
entity or an agent of such person. There is no minimum ontra amounf
under this statute!
• The disclosure form to be filed by a local government officer is pre ribed by
the Texas Ethics Commission and may be ownlo ded at
www. eth i cs . s tate . tx. u s.
• A disclosure statement must be filed not later than 5 p.m. o
the date the officer becomes aware of the facts that requi
statement.
• Failure to file the required disclosure statement is a Class
The statement must be made under oath under penalty o1
A misdemeanor, punishable by a fine not to exceed $4
jail, or both).
• Chapter 176 also imposes an obligation to file a disclosu
persons who do business or seek to do business with the
K:\ETH ICS\RDC3116A
the 7`
day after
e the fi
ng of the
C misd
meanor.
perjurl
, (a C/ass
000, o
e year in
e form
on those
City.
PAGE 11
16
VI.
VII
VIII
Chapter 573, Texas Government Code (Nepotism)
• Chapter 573 prohibits nepotism.
• "Nepotism" is defined as "Bestowal of patronage by I
appointing others to positions by reason of blood or marit
appointing authority." Black's Law Dictionary, 6th Ed., 199
ublic Ifficers in
il relati nship to
• Applies to "public officials" which are defined as "An fffri'cer f . . . a
municipality or other political subdivision of this tate or
member of a board of a... municipality o other olitical
subdivision of this state.
• A public official may not appoint, hire or promote a pers
n who
related
within the third degree of consanguinity or the second d
gree o
affinity.
Chapter 573 does not generally affect the hiring or retenti
n of e
ployees
who are related to Council Members because most hiring
and pr
motions
in City government do not require action by Council Memb
rs.
• Violation of the provisions of the law may be punished b~r remorl from
office or a fine of $100 fo $1000.
• A chart showing the degrees of relationship by consanguini and inity for
purposes of applying the state nepotism law is attached t this tline for
reference.
Chapter 255, Texas Election Code
Chapter 255 of the Texas Election Code makes it a C/ass A m,
officer or employee of the City to spend or authorize the expfunds for political advertising, which is defined as
communications supporting or opposing a candidate or a prop
Expenditure has been interpreted to include the use of City ri
staff, fax machines, compufers, and mail distribution.
Chapter 441, Texas Government Code
Subchapter J sets out requirements for the preservation,
management of local government records. Section 2-111 of the
Ordinances is loosely modeled on this subchapter. Procedure:
process and control the destruction of City records, and employi
such duties should ensure that any such action is taken in full comK
regulations.
IX. Chapter 551, Texas Government Code (Texas Open M
K:\ETHICS\RDC3116A
Dr for an
f public
I many
a ballot.
such as
retenti n, and
iousto Code of
are in place to
es cha ed with
iance ith those
Act)
PAGE 12
- 17
• The Texas Open Meetings Act ("TOMA") provides
governmental bodies must be open to the public, e
authorized executive sessions (which are prohibited by
• "Governmental body" means:
• A municipal governing body in the state;
• A deliberative body that has rulemaking or quasi ju
that is classified as a department, agency, or politi(
a municipality; or
• The governing body of a special district created by
• The public must be given 72 hours' notice of the time,
matter of ineetings of governmental bodies.
• Actions taken by a governmental body in violation of the
• The Act provides for a civil action to prevent a violation
require compliance with the Act.
ngs of
ptfor xpresE
City C arter).
iicial
al su
and
n of
? an subject
are oidab/e.
the ct, or to
• Certain violations of the Act are punishable by criminal nforc ent. A
member of the governmental body commits an offense i the m mber or
group knowingly conspires to circumvent the Act by meetin in nu ers less
than a quorum for the purpose of secret deliberations.
Training Required (New)
• In 2005, the Texas Legislature amended the TOMA to rE
appointed or elected public official who is a member of a go
subject to this chapter" complete a course of training of ni
hour nor more than two hours regarding the respo
governmental body and its members under that law.
• The required training must be completed not later than the
date the member:
(1) Takes the oath of office, if the member is required
office to assume the person's duties as a member of the i,
or
(2) Otherwise assumes responsibilities as a member of t
body, if the member is not required to take an oath of offic
person's duties as a member of the governmental body.
K:\ETHICS\RDC3116A
juire t
at "each
,ernm
tal body
t /ess
han one
isibiliti
of the
IOth da
after the
take a
oath of
ernme
tal body;
e gov
nmental
3 to as
ume the
PAGE 13
1s
Persons Affected
The Mayor and members of City Council, as well as meml
boards and commissions which are "subject to fhis ch~
required to complete this training and confirm their o
training by completing a certificate of course completion
form with the City Secretary, as required by Section 551
City boards and commissions subject to the TOMA and 1
the new training requirement include, but are not limited
• Planning Commission;
• Civil Service Commissions;
• Boards created under the City Construction Code;
• Helicopter Facility Licensing Board; and
• Ethics Committee.
Training Materials; Certificate of Complefion
The Legal Department has obtained the training material promul
Attorney General's Office and will make it available to the pror
completion of the training, each person must go to the Attorney
(www.oaq.state.bc.us/) and follow these steps:
rs of va ious City
teir"(T MA) are
ipletio of such
rm and filing the
)5 of th TOMA.
reby a ected by
the:
i by t e Texas
fficia . Upon
eral' website
1. Click "Open Government Training" on the right side of the
2. Click "Print course completion certificate."
3. Follow instructions to complete the certificate.
4. Print course completion certificate.
5. File course completion certificate with City Secreta .
It is recommended that each person retain a copy of the certificate ~n his
A sample copy of the course completion certifcate is attached.
X. Chapter 552, Texas Government Code (Texas Public Informa~ion
The Texas Public Information Act ("TPIA," formerly, Texa Open
Act) gives the public the right to request and look at govern ent infi
Although the Act makes most government information avail ble to tl
a number of exceptions exist.
Requests to review or copy information must be
City within 10 business days.
n.
er files.
nation.
public,
by the
• Public records encompass documents in any form and in lude c lendars,
phone records, and emails. The Texas Attorney General makes the final
determination whether information is subject to an excepti n.
K:\ETHICS\RDC3116A PAGE 14
19
• Vio/ations of the TP/A carry civil and criminal pena/tie . A pu ic official
commits an offense if, with criminal negligence, the fficial fuses a
requestor access to, or copying of, public information as provid d by the
TPIA.
• The local government body may be subject to a civil s it to c pel the
release of requested information.
• Public officials have the duty to see that public records ar prote ted from
deterioration, alteration, mutilation, loss, orunlawful remov I. Publi records
may be destroyed only pursuant to statutory authority.
Training Required (New)
As in the case of the TOMA, the TPIA was also amended by the LI
gislatur~ in 2005
to add a"training requirement."
Persons Affected
• New Section 552.0012 of the TPIA mandates that "public o icials covered
by the TPIA, as well as the "officer for public information o a gov nmental
body," without regard to whether such person is appointed or elec d, shall
complete the training within the same time period as the T MA tr ining.
• Unlike the TOMA requirement, however, the covered pu lic offi ial may
designate a public information coordinator to sati fy the training
requirements of Section 552.012 for the public official.
Training Materials; Certificafe of Completion
• As in the case of the TOMA training requirements, the Legal
obtained the training materials promulgated by the Attorney
endeavor to make it available to those who must comp
requirement.
• The procedure for obtaining and filing the course completic
out above under the TOMA training discussion, should be fc
full compliance with the required TPIA training requiremen
• A sample copy of the course completion certificate is
LOCAL ETHICAL PROVISIONS
I. City Charter
K:\ETHICS\RDC3116A
Depart
ent has
Gener
I and will
ete th
training
n certi
ate, set
lowed
ensure
PAGE 15
1 20
• The City Charter prohibits certain conduct by "officers" f the ty which
term has been defined by Texas common law (case law) t mean "public
officer."
• Public officers are distinguished from public employee as h ing the
authority to perform sovereign functions of the gove nment "largely
independent of the control of others." A/dine l. S. D. v. St nd/ey, 54 Tex.
547, 280 S.W.2d 578, 583 (1955).
• Department heads and, possibly, some of their subor inates may be
deemed to be officers of the City in certain circumstances. Listed elow are
examples of conduct which City officers should avoid:
• City officers and employees may not hold employm nt
while in arrears to the City for taxes or other obligatio s.
(Art. III, § 2)
• City officers may not divert funds from the sinking
earmarked to retire public improvement bonds.
such conduct is deemed a felony. (Art. IV, § 1)
• An officer of the City may not have a direct or indir ct
pecuniary interest in a City contract, City work, "o in
any matter wherein the rights or liabilities of the Cit of
Houston are or may be involved." (Art. VII, § 4)
• A violation of the provisions of Art. Vii, § 4 of
Charter renders the affected contract null and vi
II. City Code of Ordinances
A. Chapter 18 (Ethics and Financial Disclosure)
Article I of Chapter 18 prescribes standards of conduct for "City
is defined in Section 18-2 as including only the following:
• Elected city officials (Mayor, Council Members, City
• Department directors and other employees required to be
Council;
• Assistant city attorneys;
• Persons holding executive level employee positions whicl
Article Va, section 2(f) of the City Charter as those employe,
require them to determine and publicly advocate substantiv(
provide legal counsel, or to maintain a direct, confidential
K:\ETH ICS\RDC3116A
Wicial which
er);
nfirm by City
are d fined by
s "who e duties
progr policy,
elation hip with
PAGE 16
2 1
an appointive official of the city or with an elected offic$r of th~ city (i.e.,
Council aides); or ~
Appoinfed members of city boards, committees and
Prohibited Conduct
Section 18-3 mandates that no city official (including a
shall:
• Engage in any business or professional activity that might
to conflict with the discharge of official duties.
offi'cial)
tend
Invest or hold any investment or interest directly or indirectl in any inancial,
business, commercial or other transaction, that creates or ight re sonably
tend to create a conflict between the public trust held as an fficial f the city
and the official's private interests.
• Disclose confidential information concerning the prop rty, o rations,
policies or affairs of the city, or use such confidential inform tion to dvance
the personal interests, financial or otherwise of said offi ial or hers, or
accept employment or engage in business or professiona activi that the
official might reasonably expect would require or induce him to disclose
confidential information acquired by reason of his official p sition.
• Use one's official position or the city's facilities, equipment o suppli s for the
private gain or advantage of the official or others, or use r attem t to use
one's official position to secure special advantage for the fficial others.
• Negotiate for or accept future employment with any person,
irm, as
ociation
or corporation that has a substantial interest in any propo
ed ordi
ance or
decision within such person's area of responsibility and
upon
ich the
official may or must act or make a recommendation sub
equen
to such
negotiation or acceptance.
• Appear before the body of which the official is a member wf~ile
any private person, group or interest. ~
• Engage in or promote ideas and/or actions that would dem
any particular ethnic group, racial minority group, specic,
and/or religious group.
• Represent directly or indirectly, any private person, group r inte
any agency of the city, except in matters of purely civic or pu lic ci
when doing so, without compensation or remuneration.
• Represent, directly or indirectly, any private person, group
action or proceeding in which the city or any agency tf
K:\ETHICS\RDC3116A
n defame
re t group
re t before
m ern and
,Wa t, in any
party.
PAGE 17
2?
However, this provision shall not prohibit representation b a gro , firm or
organization the city official is associated with if such city official oes not
participate in the action, proceeding or litigation in any man er and oes not
receive any benefit directly or indirectly from the action or rocee ing.
• Represent, directly or indirectly, any private person, group r inter st in any
action or proceeding in the municipal courts of the city that as ins ituted by
a city officer or employee in the course of official duties.
Violations of the provisions of Section 18-3 may be reviewe by t Ethics
Committee. (Ch. 18, art. II.)
PLY TO
THE PROHIBITIONS CONTAINED IN THE FOREGOING SEC~ION AT
ALL APPOINTEES TO CITY BOARDS AND COMMISSIONS I Financial Disclosure Statement
Financial disclosure statements must be filed by the Mayor nd all Council
Members, department heads, executive level staff members, and a I attorn ys in the
Legal Department. (Ch. 18, art. III). The reporting and filing re uirem ts were
amended by the City Council in 2005.
Time for Filing
Under the 2005 amendments to Chapter 18, and for the report due in 2006 nly, the
required disclosure form must cover the period from October , 2004 hrough
December 31, 2005 and must be filed no /ater than April 30, 2006.
Financial disclosure reports for subsequent years must cove the eceding
calendar year and be fled not later than April 30th of each succ eding alendar
year.
Form of Report
The filing requirements in Chapter 18 applicable to the Mayor, C
and the City Controller were also amended to allow the finE
statements filed by the Mayor and Council Members pursuant to C
Local Government Code (discussed above) to satisfy the C
requirement and to permit the City Controller to elect to file either
form or the Chapter 18 form to satisfy the requirements of Chapt
The reports are reviewed by the Ethics Committee. Common
include:
• Failure to provide all required data.
• Failure to indicate "not applicable" or "none" in those fields,
data to report.
• Premature completion or filing of the report.
K:\ETH ICS\RDC3116A
incil embers
;ial d closure
pter 1,15 of the
ipter 8 filing
e Ch ter 145
18.
ir~portirilq errors
ere thl~re is no
PAGE 18
- 23
• Failure to identify the location of real property in the real
required in the report.
• Failure to have the report properly notarized.
B. Chapter 14 (Civil Service)
City Emp/oyee as Candidate for Elective Office
Employees should notify the Director of Human Resources
they become a candidafe for elective offi-ce. (Houston City
Although not specifically addressed in the City Code, this rL
considerations that may raise conflicts with City employment:
The federal Hatch Act imposes restrictions on the partisan
of employees whose jobs are funded in whole or in part vA
listings
g when
14-156)
res two
federW funds.
• In certain instances, department heads and some other Cit
perso
el may
be deemed to be "officers" under Texas law. Virtually a
I elect
d office
holders are also "officers," as that term is used in the Te
as Con
titution.
The Texas Constitution and common law prohibit the simul
aneou
holding
of two public offices in many circumstances.
Hiring and Promotion of Emp/oyees
• Department heads have personal responsibility for
he hi
g and
promotion of emp/oyees within fheir departments. Th
is inclu
es Civil
Service employees. (Houston City Code Ch. 14, Rules 8
10)
• Department heads are subject to state nepotism laws, whic
are di
cussed
above. Directors and other supervisory personnel should
nsure
at they
are familiar with the Administrative Procedure No. 3-5, rela
ing to t
e hiring
of persons for Key Executive Management Positions, Pa
Grad
30 and
above, and the Mayor's Policy on Hiring Relatives (Policy N
. 104).
oth are
available online via C.H.O.I.C.E.net. www.choice.net.
Prohibited Conduct
Under Sec. 14-183, each City employee is subject to discipline for a wide ange of
violations of an ethical nature including:
• Accepting gifts given with the intent to influence.
• Accepting gifts for doing one's duty.
• Engaging in outside business activities that might tend to im ir inde endent
judgment.
• Holding investments that conflict with the public trust.
K:\ETHICS\RDC3116A PAGE 19
_ 24
• Disclosing certain confidential information or the
information for personal benefit.
• Using one's City position to secure any benefit.
• Negotiating for or accepting future employment where a
City duties.
of co fidential
nflict e ists with
• Representing persons before City agencies, except in civio affai
• Representing any person in civil litigation against the City ~r in a
Court case.
• Similar provisions are contained in Chapter 18, which app y to
heads and executive level personnel and members of I
commissions and are discussed below.
nicipal
rtment
s and
• Additionally, many requirements of Section 14-183 ove lap st e penal
laws (Tx. Penal Code, Ch. 36, Bribery & Corrupt Influence) nd th Mayor's
Executive Order on gifts (E.O. 1-28). I
• Section 14-183(f) authorizes department heads to adopt ddition I ethics
rules within their departments. Each employee should in uire a out and
obtain a copy of any additional ethics rules within his or he depa ent.
C. Chapter 15 (Contracts)
Section 15-1 of the City Code of Ordinances contains various polic es app cable to
all city employees regarding City contracts:
• City employees may not bid on or be awarded any contract et by t City or
have a direct or indirect pecuniary interest in City contracts This rovision
is very similar to the provisions of Art. VII, § 4 of the Ch rter Icussed
above, which applies to "officers" of the City.
• No firm, partnership or corporation in which any employee of the ity has
any ownership interest in excess of one percent of the otal o nership
of the firm, partnership or corporation shall bid on or be a arded ny City
contract.
In the application of Section 15-1, it is important to distinguish whic emplo ees are
"officers" because the Charter provisions that apply to offi ers a more
restrictive than Section 15-1 which applies to all "employees," who may or ay not
also be "officers." If a person is both an employee and an o icer, t e more
restrictive provisions apply.
The Legal Department has opined that Section 15-1 does not app~y to comunity
property interests at the subcontract level. However, an empl yee m y be in
K:\ETHICS\RDC3116A PAGE 20
~ 25
violation of other applicable ethics provisions if a close rela~ive act~d as a
subcontractor on a City job.
III. Administrative Policies and Executive Orders
The Mayor's Office has issued a number of Administrative roced res and
Executive Orders, available at www.choice.net. While most of the e prom Igations
affect all City employees, the policies regulating gifts, the use of ity vehi les, and
travel on City business most often give rise to ethics inquiries.
Gifts
Executive Order 1-28 on gifts (Mayor's Gift Policy) is applicable t all e loyees,
including department heads. Only elected offi-cia/s are exe pt. T s policy
prohibits employees from accepting anything of value from any p rson o is:
• Subject to City regulation (Permit and License holders, etc
• Under criminal investigation.
• Charged in a case pending in Municipal Court.
• Acting as a lobbyist or consultant representing others befo e the ty.
• Holding or seeking City contracts or purchase orders.
• Making claims against the City.
• Otherwise in a position to benefit from City activity.
Exceptions are made for gifts from certain close relatives. An exc ption ay also
be made by an employee's department head for attendance at bus ness a d social
functions if the sponsor is reimbursed for the cost of an food, odging,
transportation or entertainment provided.
The full text of the Mayor's Gift Policy should be reviewed by ea h em oyee to
ensure that no unintended or inadvertent action results in a violat on of i terms.
This policy is far more restrictive in most respects than the correspo ding p visions
of the Penal Code, discussed above.
Motor Vehicles
Administrative Procedure 2-2 addresses Motor Vehicle Assignme t and U e. This
policy affects department heads and employees in a number of wa s. De rtment
heads are responsible for enforcing this policy with respect to thei staff m mbers,
particularly as it may directly affect the following situations:
• Department heads and employees who are assigned take-hi
make certain they have the required non-owned insuranc
K:\ETHICS\RDC3116A
ie car~ should
rider Ifor their
I PAGE 21
- 26
take-home cars. Fire and Police personnel are ex~mpt f~{Om this
requirement.
• All employees are responsible for traffic citations and fine~ receit
d while
operating City vehicles. • Ci
ty vehicles, including Department heads' vehicles, ar subje t to the
markings requirement under state Law, and applicable ve icles s ould be
properly marked. Only vehicles used for law enforceme t purp ses are
exempt. (Tex. Transp. Code, 721.004 - 721.006)
• City-assigned vehicles are for City use only, and personal u~se is
Travel
Travel authorization and reimbursement for travel expenses re set forth in
Administrative Procedure 2-5. Department directors or their esigne s must
approve travel, travel advances, and all travel-related xpens s and
reimbursements. All foreign travel must be approved by the Mayor r his d signee.
It is also advisable to remember that such reports are government I recor, s, open
to public inspection by any person upon request under the Texas P blic Inf rmation
Act.
Rules governing travel expenses for City business travel of both s~laried~nd non-
salaried employees or elected officials are set forth in Section 2-3 of th Code.
Other Provisions
Possible traps for the unwary are the record keeping and reporting
Sections 37-23 and 37-26 of the City Code. These sections require
who are in the "regulatory chain," as defined by Section 37-
permanent record of all communications, written or oral, with o
employees and other representatives of public utility companies ovE
exercises regulatory authority. The report is to be filed monthly witl
Finance and Administration. A form for the keeping of such rec
developed and should be reviewed if your job duties or position K
"regulatory chain."
Attachments - 3
uirerhhents of
!1, to ake a
Ficers, wners,
r which he City
the Di ctor of
ords h s been
lace v in the
K:\ETHICS\RDC3116A PAGE 22
1 27
City Ethics.org
Model Ethics Code
28
Model Code - Introduction I CityEthics.org
CityEthics.org n---~~~~~ci-em-nl mo,zPtn-W Forums
Home Services Successes Model Code
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Model Code - Introduction
s~~ 20013 ,,-,z,:>,P
in Motlel Code
Send to friend
Draft Model Municipal Ethics Code
CLICK HERE: Full text of the Model Ethics Code
Foreword - The City Ethics Model Code Project
To discuss the Model Code Prqecl, click here.
Our goal in putting online this drafl model ethics code is to spark discussion of the many fundamental and specific issues
surrounding the creation, improvement, and implementation of ethics programs in municipal government, Such a discussion will
include not only issues and language, but also best and worst practices (successes and problems with various approaches).
City Ethics asks municipal ethics practitioners and academics to share their experiences and ideas, to make comments and ask
questions, and to get involved in a discussion of the elements of an effective ethics code, the process of creating or improving
one, and an ethics code's place in a city's ethics program and environment. Using the technology and ease of discussion provided
by the Internet will lead to a different sort of model code that will be of great help to cities and towns, many of which are trying to
recreate the wheel or tuming for mspiration to the mediocre codes of neighbonng towns
The discussions in the forums on this site will themselves provide excellent information and guidance to municipalifies across the
country. And based on these discussions, we will put together a model code that will not only include tested approaches to and
elements of municipal ethics programs, but will also contain arguments to be made in favor of, as well as against, various
approaches and elements. That is, the model code's guidance will involve not only provisions, forms, and enforcement
mechanisms, but also the information and rationales, along with the legitimacy, to allow politicians and citizens to show both the
need for and the way to improving their cities' ethics programs or crealing programs where there is none or next to none.
At the beginning of each forum (there are forums tor each subject area, either one provision or group of provisions), and in some
of the Comments sedions, we ask specifically for information about certain issues and experiences. But please share your
knowledge and ideas regarding any provision, as well as provisions not inGuded or mentioned in this draft. And please respond to
what others have said and questions others have asked.
Introduction
To discuss Ihe Intratluction, click here.
Since most cities already have an ethics code, why is there a need for a model code? Because, as Mark Davies has so effectively
argued, a poor ethics code, one that seems to be something it is not, is worse than no ethics code at all. One need not begin with
a comprehensive, perfected ethics code, but a code that is lacking one or more essential elements will likely not fulfill the goals of
creating a code and will mislead people into thinking their town has an effective ethics program. Formulating a poor or mediocre
ethics code, especially when its purpose and provisions are not openly and honestly discussed, is unethical.
The essential elements of a municipal ethics code are:
t that it be clear and comprehensive, providing clear guidance to city officials, employees, coMractors, and citizens:
2. that it provide for three kmds of sensible disclosure of interests: an annual disclosure statement, disclosure when a
conflict arises (transactional disclosure), and disclosure when someone bids for business or requests a permit (applicant
disclosure); disclosure is the democratic way of letting people know about possible conflids of interest;
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3 that it provide effective administration, featuring an independent ethics commission with teeth, which gives swift
advisory opmions, which has a monopoly on interpreting and enforcing the code, which can give waivers for exceptions,
and which provides training for all city officials and employees, as well as for everyone who does business with the city;
4. that it provide whistle-blower protection so that city employees (the people who know whaYs going on) and others will
be able to report violations without endangering their jobs and pensions
The other essential element of an effective ethics code is that it be the center of an ethical environment. Rarely is the passage of
an ethics code the result of an ethics environment. More commonly, it is a response to a scandal or series of scandals in an
environment where unethical behavior has been accepted, up to a point. In such instances, work on a new or revised ethics code
can be an exercise m political oneupmanship.
But the writing or revision of an ethics code can also be an occasion for, and centerpiece of, the founding of an ethical
environment. The discussion of a new or improved ethics code can help a community determine its goals and ideals, and identify
conduct that is consistent and inconsistent with an ethical environment. It can also provide guidance that will help people in and
out of government think and act more ethically. Out of this process should come, besides the code itself, an ongoing ethics
education system and an organized as well as mformal system of rewarding ethical behavior and the examination of issues
through an ethical as well as a practical lens.
If a community's leaders intend an ethics code to be a bandage, the ethics system will not function properly. If it is a true reflection
of community leaders' aspirations and ideals, then the ethics code will not only function as part of an all-encompassing elhical
environment, it will be almost unnecessary except as a process that keeps inspiring and motivating officials and employees to
think and act ethically.
Cities will want to make changes in the language of certain of the model provisions, but they should be careful that the changes
do not undermine the purpose and spirit of the provision, unless that is the stated intent. Also, the language in this model code is
intentionally as readable as possible. Many lawyers will say that the language musl be more formal, but the question is, Which is
more important: the ability of ordinary municipal employees and officials to understand a code that guides their ethical conduct, or
the preference lawyers have for familiar, usually more complex or vague terminology?
Few municipalities will want to include everything in this model code, but it is definitely worth discussing all the provisions. Certain
provisions that may seem expendable will not seem that way after deliberation among a number of people. For example, it can be
difficult for a dty's leaders to allow an ethics commission to have the power to not only reprimand politicians and administrators,
but even fine or suspend them. When there is no public discussion, ethics codes invariably withhold this power from the ethics
commission, or do not even create an ethics commission at all, but have a political body handle ethics matters
And yet the most comprehensive ethical requirements have little value if an ethics commission has no teeth, that is. if it cannot
enforce the code but can only make recommendations to elected officials. Since elected officials, those whom they appoint, and
their friends and enemies constitute the great majority of the people who will be brought before an ethics commission, involving
officials at the end of the process effectively makes the entire process a political one. Doing this announces to everyone, in and
out of the government, that those who are friendly with elected officials are likely to get away with unethical conduct (whether this
is true or not). Therefore, citizens will be less likety to file ethics complaints, and officials will be less likely to follow the code's
requirements
The fact that elected officials like to have the finai say Is itself a conflict of interest, because it is certainly not in the public interest
to give them this final say. The more independent the ethics commission, the more it will be trusted by city residents, the less it will
be used for political purposes, and the more respect its decisions will be given. When an ethics system is not perceived as
independent, and ethics accusations are politicized, the ethics system can actually undermine the very confdence in government
it is supposed to protect.
Municipal officials and employees should not be expected to be all-knowing saints. The basic rule of any ethics code is simple and
requires little knowledge: If you're not sure there is a conflict that could be seen as affecting your decision, ask for advice or
withdraw from dealing with the particular matter. In other words, if doing anything seems to be wrong or to look wrong, don't do it.
No one's parlicipation in a particular matter is indispensable.
The provisions of this model code have been organrzed to make it easier for city officials and employees to understand what is
expected of them. First come the more general ethical guidelines, which are not enforced by the Ethics Commission (however.
people may ask the Ethics Commissions for advisory opinions concerning these guidelines). Second come the conflict of interest
rules that are enforced by the Ethics Commission. Neut come the disclosure rules, exceptions, and penalties for violation of the
code And then comes the Definitions section. Wherever a defined term is used, there is a star, so that people know that they can
check the Definitions section.
The second half of the code deals with the code's administration, The provisions of this part contain the necessary mformation
about filing an ethics complaint, the formation, powers, and responsibilities of the Ethics Commission, and the enforcement of the
code. This part comes last because it is primarily of interest to people who want to file a complaint. Most people will never have to
read this part. This means that this part can be more technical, which it needs to be due to the requfrements of due process, that
is, protections of the rights of those against whom ethics complaints are brought.
Throughout this model code there are comments following sections or subsections There are two kinds of comment: (i) comments
of the author intended for those who will consider this model code when writing or amending their city's ethics code: and (ii)
comments intended to be part of the ethics code, that is, comments intended for the community, to clarify the code. Comments of
http://cityethics.com/mc/introduction , 319 4/16/2010
i.
Model Code - Introduction I CityEthics.org
Page 3 of 3
the author are italicized
o cRyEtmcs 1
Vvebsite cre:
tl antl maintaiiied Gy Jax
This model code was originally based on a model code written by Mark Davies, which appeared in "Keeping the Faith: A Model
Beach
ecnnoiogy Seroices
Local Ethics Law-Content and Commentary," 21 Fordham Urban Law Joumal 61 (1993). Mc Davies is Executive Director of the
New York City Conflicts of Interest Board and Adjunct Professor of Law at Fordham University School of Law. I have also
consulted many other model and municipal ethic codes.
Robert Wechsler
Research Director. City Ethics
rwechsler@cityethics.org
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http://cityethics.com/mc/introduction 31
4/16/2010
Part A: Ethics Provisions
100. General Conflict af Interest Provisions.
1. Conflict of Interest.
2. Legislators Employed by City
3. Recusai
4. Gifts
5. Speciai Consideration
6. Representation
7. Appearances
8. Confidential information
9. Political Solicitation
10. Patronage
11. Revoiving Door
12. Misuse of City Property and Reimbursements
13. Nepotism
14. Transactions with Subordinates
15. Fees and Honorariums
16. Endorsements
17. Consultants
18. Gomplicity with or Knowledge of Others' Violation!
19. Falseiy Impugning Reputation
20. Meeting Attendance
21. Honesty in Applications for Positions
101. Transactional Disciosure.
102. Exclusions from the Code of Ethics and from Transactional
103. Annual Disclosure.
104. Disclosure by Applicants.
105. Advisory Opinions.
106. Void Contracts.
107. Penalties for Violation of This Code.
1. Resignation, Compensatory Action, Apology.
2. Disciplinary Action.
3. Civii Fine.
4. Damages.
5. Civil Forfeiture.
108. Debarment.
109. injunctive Relief.
110. Whistle-Blower Protection.
111. Definitions. Part B: Administrative Provisions
201. Duties of City Clerk.
202. Maintenance of Disclosure Statements.
203. Ethics Commission: Establishment; Qualifications of Memt
204. Ethics Commission: Vacancies.
205. Ethics Commission: Removal of Members.
206. Ethics Commission: Meetings.
207. Ethics Commission: Jurisdiction, Powers, and Duties.
208. Lists, Complaint Forms, and Disclosure Statements.
209. Advisory Opinions.
210. Waivers.
211. Training and Education.
212. Annual Reports; Review of Ethics Laws.
213. Filing a Complaint; investigations.
214. Public Hearing Process.
215. Finding of Violation; Penalties; Injunctive Relief.
216. Judiciai Review.
217. Public Inspection of Records; Public Access to Meetings.
218. Miscellaneous Provisions.
219. Distribution and Posiing.
220. Liberal Construction of Code.
221. Severability.
222. Effective Date.
of Members; Term of Office.
` V ~r
Hrrcivvix H: Hnnuai uisciosure btatement
To read the foreword and introduction to this Model Code, click here.
To discuss the Model Ethics Code Project itself, click here.
To discuss municipal ethics codes in general - their value, necessity, and role in ethics programs - click here.
To discuss problems and solution with respect to getting ethics codes passed or improved, click here.
Declaration of Policy, Purpose, and Obligations
To discuss declarations of policy, click here.
The proper operation of our city's government requires that public officials and employees act as public servants: courteous,
impartial, honest, open, and responsible to the city's residents; that they act as fiduciaries entrusted with and responsible for t e
property and resources of the community; that they make governmental decisions and policies in the proper channels of the
government structure, free of coercive or other improper influence; and that they use their office and employment in the best
interests of the city rather than for personal interests, whether their own interests or those of their family, friends, or business nd
political associates.
It is central to gaining and retaining the public's trust in our city's government that public servants seek to avoid even the
appearance of impropriety. Fulfilling one's role as public servant sometimes means sacrificing rather than gaining opportunitie.
This code focuses on conflicts of interest, which affect the decisions of government officials and employees in ways that are u faii
both to the community and to individuals and entities who lack special relationships with our city's officials. When public serva ts
make decisions that are not or do not appear to be impartial, this seriously undermines public confidence in government.
While the vast majority of municipal officials are well-meaning, being well-meaning is not enough. It is important that officials
understand the conflicts they confront every day, appreciate their fiduciary obligations to city residents, and recognize the
importance of preventing conflicts from occurring, disclosing conflicts when they arise, and withdrawing from any involvement in a
matter where they have a conHict (recusing themselves).
Nothing is more important to public trust than having public servants err on the side of disclosing every possible conflict and
recusing themselves even where they feel certain they can act impartially.
The purposes of this ethics code are:
(a) To establish standards of ethical conduct - especially those dealing with conflicts between personal interests and those of he
city - for city officials, employees, consultants, candidates, and those who do business with the city;
(b) To provide clear guidance with respect to such standards by clarifying which acts are allowed and which are not;
(c) To promote public confidence in the integrity of our city's governance and administration;
(d) To provide for the consideration of potential ethical problems before they arise, to minimize unwarranted suspicion and to
enhance the accountability of our city's government to city residents; and
(e) To provide for the fair and effective administration and enforcement of this code.
There is more to ethical conduct than what is covered by this code, which consists primarily of enforceable rules about conflic s o
interest. The city must also provide a healthy ethical environment with positive means of encouraging ethical behavior among its
public servants. And individuals - especially community leaders - must commit themselves to thinking and acting ethically.
Ethical conduct depends on thinking about one's acts not in terms of what is politically popular, best for oneself and one's
colleagues, or even most effective and efficient, but in terms of what is in the best interests of the city. Ethics is not just about
enforceable rules, but also about democratic ideals and aspirational goals. Central to ethical action is respect for city resident
(treating them as ends rather than as means) as well as self-respect (integrity, expecting the best of oneself).
There are expectations placed on those who govern and administer our city's government, there are values to which our city'
officials and employees aspire, and there are obligations that our city's officials and employees accept when they take their j bs or
offices. This is especially true of elected officials and department heads, because they have accepted more responsibility for he
decisions that are made.
The American Society for Public Administration's (ASPA) Code of Ethics is an excellent list of a government administrator's
obligations, based on values rather than job description. These are the obligations our government leaders should be reinfor ing
and to which individuals should be committing themselves. The ASPA Code is especially valuable because it is not the work f
ethics specialists, but of government administrators themselves. These obligations will not be enforced by the Ethics Commi sion,
because they are difficult to define concretely enough so that they can be enforced.* However, these values and obligations
should be expected and aspired to in our city. Anyone who has questions about these values and obligations may seek
clarification from the Ethics Commission as to how they apply them to specific situations.
* Note that the ASPA code is intended for unelected administrators, so that the provision requiring nonpartisanship should n t be
applied to elected officials who belong to political parties. On the other hand, the most basic conflict of interest in governmen
(accepted as it is by our democratic process) is between the public interest and the interest of elected officials in getting re-
elected.
To discuss aspirational ethics codes, click here.
1. Serve the Public Interest
Exercise discretionary authority to promote the public interest.
Oppose all forms of discrimination and harassment, and promote affirmative action.
Recognize and support the public's right to know the public's business.
Involve citizens in policy decision-making.
Exercise compassion, benevolence, fairness, and optimism.
33
rsespona to ine puonc in ways tnat are compiete, ciear, ana easy to unoerstana.
Assist citizens in their dealings with government.
Be prepared to make decisions that may not be popular.
11. Respect the Constitution and the Law
Understand and apply legislation and regulations relevant to their professional role.
Work to improve and change laws and policies that are counterproductive or obsolete.
Eliminate unlawful discrimination.
Prevent alI forms of mismanagement of public funds by establishing and maintaining strong fiscal and management
controls, and by supporting audits and investigative activities.
Respect and protect privileged information.
Encourage and facilitate legitimate dissent activities in government and protect the whistle-blowing rights of public
employees.
Promote constitutional principles of equality, fairness, representativeness, responsiveness, and due process in proti
citizens' rights.
lll. Demonstrate Personal integrity
Maintain truthfulness and honesty and not compromise them for advancement, honor, or personal gain.
Ensure that others receive credit for their work and contributions.
Zealously guard against conflict of interest or its appearance: e.g., nepotism, improper outside employment, misuse
public resources, or the acceptance of gifts.
Respect superiors, subordinates, colleagues, and the public.
Take responsibility for their own errors.
Conduct official acts without partisanship.
IV. Promote Ethicai Organizations
Enhance organizational capacity for open communication, creativity, and dedication.
Establish procedures that promote ethical behavior and hold individuals and organizations accountable for their conc
Provide organization members with an administrative means for dissent, assurance of due process, and safeguards
against reprisal.
Promote merit principles that protect against arbitrary and capricious actions.
Promote organizational accountability through appropriate controls and procedures.
Encourage organizations to adopt, distribute, and periodically review the code of ethics as a living document.
V. Strive for Prafessional Excellence
Provide support and encouragement to upgrade competence.
Accept as a personal duty the responsibility to keep up to date on emerging issues and potential probiems.
Encourage others, throughout their careers, to participate in professional activities and associations. Allocate time to
meet with students and provide a bridge between classroom studies and the realities of public service.
This code is enacted pursuant to [Section _I of [state statutes] and is not intended to authorize any conduct prohibited by
section.
Comment: It is helpful to list other municipal and state ethics-related laws here, or reference a supplement containing them, o
that all ethics laws are available in one place. In this way, people will not have to search for them or worry if ihey have misse any
rules or exceptions. It is also helpful for authors of ethics laws to consult all other relevant laws, so that ihere will not be any
contradictions.
Here are the citations in the Connecticut model code 1 wrote, including only references to state law: "The power to adopt an e
code is provided in 7-148(c) (10) (b). There are some specific conflict of interesi rules in 7-148t. Allegations, confidentialiry, an,
probable cause findings are provided for in 1-82a. A business with which an official or employee is associated is defined in 1-
(b). And the Freedom of Information Act can be found in Chapter 14, 1-200 to 1-242."
Why freedom of information? Because ii involves one of the most often abused conflicts of interest: between the public's righ
know and the municipal official's desire to keep information hidden, for personal or political reasons (it's much easier to do or
job in secret than in the public eye; it is especially easier to act unethically when acting in secret). In fact, it would be complet
appropriate for a municipal ethics code to suppiement the Freedom of Information Act in areas that have been problems in a
particular city. For example, an ethics code could include longer notice requiremenis for meetings and agendas, shorter peric
which to provide information (as well as lower reproduction costs), and requirements for notice and the placement of informai
on the city website.
Part A: Ethics Provisions
100. GeneraE Conflict of Interest Provisions.
1. CnnflicY of Interest.
To discuss this provision, click here.
a. An official or empioyee* may not use his or her official position or office, or take or fail to take any action, or influence othe
take or fail to take any action, in a manner which he or she knows, or has reason to believe, may result in a personai* or fina
benefit*, not shared with a substantial segment of the city's population, for any of the following persons or entities (no group
government employees may be considered "a substantial segmenY" for the purposes of this provision):
1. himself or herself;
2. a member of his or her household*, including a domestic partner* and his or her dependents, or the empioyer or
business of any of these people;
3. a sibling or step-sibling, step-child, parent or step-parent, niece or nephew, uncle or aunt, or grandparent or grar
of either himself or herself, or of his or her spouse or domestic partner, or the employer or business of any of these F
34
y. ai I uLn5iue einPiuyei ur uusines6° or nis or ners, or or nis or ner spouse or aomesuc partner, or someone wno worK tor
such outside employer or business;
5. a customer or ciient*;
6. a person or entity from whom the official or employee* has received an election campaign contribution of more tha
$200 in the aggregate during the past election cycle (this amount includes contributions from a person's immediate fam ly
or business as well as contributions from an entity's owners, directors, or officers, as well as contributions to the official r
employee*'s party town committee or non-candidate political committee);
7. a substantial debtor or creditor of his or hers, or of his or her spouse or domestic partner; or
8. a nongovernmental civic group, union, social, charitable, or religious organization of which he or she (or his or her
spouse or domestic partner) is an officer or director.
b. It is a violation of this code for an official or enzployee* to, within two years of entering city employment or service, award a
contract or participate in a matter benefiting a person or entity that formerly employed him or her.
Comment: The central point of an ethics code is that city officials and employees should not prefer, over the public interest, tr
own interests or the interests of their family or business associates. There are other relationships that should be included in th
above list, but cannot due to problems of defining them. These include romantic relationships short of domestic partnership, a
close friends and associates.
The general rule is: If it looks to others as if you might be giving someone special treatment, or if it would look that way to othe
they knew about the relationship, then you should not act with respect to that person or entity, and instead recuse yourself uni
subsection 3 below. It is important to give city residents confidence that their officials and employees are treating everyone thE
same, even when you believe that you can be totally impartiai.
The most common way to define conflict of interest is as follows: No person subject to this code shall have any interest, financ
or otherwise, direct or indirect, or engage in any business, employment, transaction or professional activity, or incur any obliga
of any nature, which is in substantial conflict with the proper discharge of his or her public duties or employment. However, m~
govemment officials and employees do, on occasion, have conflicting interests. The important thing is not for them to prevent
them, but rather to manage them honesily and responsibly, ihat is, to disclose them and to not act where there is such a confi
no matter how impartial they feel they can be. What matters is not whether one can still act with integriry, bui whether one will
perceived that way. lt should be noted thai even voting or making a decision against a friend or relative, in order not to seem
partial, is not acting impartially, because the reason for the vote or decision is wrong: it mighf actually be better or more fair to
or decide in favor of the friend.
The one thing the common approach contains which does noi appear in this model code is a prohibition of outside employme t
where there is not a conffict with a particular govemment interest, but instead with the general govemment interest in "the pro er
discharge of an employee or official's duties" (a term that, by the way, is too vague to allow for enforcement). Outside employ ent
does not only lead to conflicis of interest as defined in this code, but also interferes with doing one's job by affecting the offici or
employee's time, energy, and focus. Volunteers are expected to have other jobs, and it is not fair to prevent low-paid employe s
from having evening, weekend, or holiday jobs, but many cities have rules limiting the amount and rype of outside employme t.
Please contribute outside employment provisions which you feel are just (or unjust), enforceable or unenforceable, and explai
why. Such provisions should include procedural requirements, for example, applying for formal, written permission from one's
supervisor or department head (including disclosure of any officials, employees, or contractors involved), and the written
accepiance of limitations on time and place of outside employment.
There is also nothing in this model code about incompatible positions in government and parties, that is, holding legislative a
administrative positions, for example, especially where one office has the power to remove or affect the other's budget; or mu tiple
administrative positions that stretch an official or employee too thin; or non-governmental positions that can have a great eNe t on
government, for example, a department head who is an officer of a local political party, posing a question about his or her
responsibility to all citizens vs. to party members, as well as putting him in a position of affecting who his boss will be, come t e
next election. Often such rules do not appear in ethics codes (ofren they appear in the city charter), but because they do invo e
conflicts of interest, they should at least be included by reference. Please say how your municipality deals with this problem, r
how you think it should be dealt with.
Another common conflict provision is as follows: No person subject to this code shail accept other employment which will eith r
impair his or her independence of judgment as to his or her pubiic duties or employment or require or induce him or her to
disclose confidential information acquired by him or her in the course of and by reason of his or her official duties. What does it
mean to have a job that impairs one's independence of judgment, or a job that induces or requires one to disclose confidenti 1
information? And how could it be proven that particular employment could do this? Again, this sort of provision focuses on th
conflict rather than on the improper management of ihe conflict. It is true that a developer should not be on a zoning board, n r
should a contractor be in charge of a city's purchases, at least in the relevant area. Bui in and of fhemselves, these are not
violations of the public trust (so long as they recuse themselves when appropriate; but if that is very often, they are not fulfilli the
obligations of their position); they are examples of seriously poor judgment on the individual's part as well as on the part of th se
who nominated or appointed that individual. In addition, when a developer sits on a zoning board, it is a sign of a poor ethics
environment, whose leaders have not spoken out against so severe a conflict. Cities may want to add a provision like the foll wing
to deal with this situation:
The recusal provisions of 100(3) do not permit an official or employee to make use of recusal on a regular basis. If recusal oc urs
with such frequency as to give the appearance of impropriety, the official or employee is deemed to have violated the provisi ns of
this code.
Comment: An official or employee who is forced to recuse himself or herseif on a regular basis should resign from his or her
position. This should also be taken into account when a position is accepted.
Another approach to conflicts of interest is to deem something a conflict only to the extent that an interest is not disciosed an the
official or employee participates in the matter. This approach recognizes that ignoring a conflict is the principal problem. Suc an
approach can be combined with defining "conflict of interesY" as doing or not doing much of what appears in 100 of this mode
code, as it is, for exampie, in Kings County (Seattle), Washington. This makes it clear that the central concept of a conflict of
interest takes many forms, but it also limits conflict to particular instances, in effect, saying that all other conflicts are accepta le.
New Haven, Connecticut enumerates several examples of conflicts of interest, as well as several exceptions. This is unusua but
if done thoughtfully and responsibly (being careful not to make the examples exclusive), it can provide clear guidance. The b st
place for such examples is, however, not in the code itself, but in explanatory guidelines on the city website or in pamphlet f m.
Here is what New Haven lists:
Sec. 12 5/8-6. Exception to the conflict of interest provisions.
The foliowing situations shall not constitute a conflict of interest under section 209 of the Charter of the City of New Haven:
J ~
1. Where a municipal employee or public official is employed by a person who enters into a contract with the City of I
Haven, where said employee or public official is not directly involved in the procurement, preparation, or performance ~
such contract and whose remuneration is not, directly or indirectly, derived from said contract;
2. If the municipal employee or public official is empioyed by any newspaper which publishes any municipal notice,
resolution, ordinance or other proceeding where such publication is required or authorized by law;
3. If the municipal employee or public official is employed by a public utility that furnishes public utility services to the
of New Haven when the rates or charges therefor are fixed or regulated by the public utifities control authority;
4. If the municipal employee or public official is employed by a person or business which has a contract with the City
New Haven if the total consideration thereunder, when added to the aggregate amount of all consideration payable un
contracts in which said employee or public official has an interest during a calendar year does not exceed five hundrec
dollars ($500.00).
Sec. 12 5/8-7. Examples of an interest requiring disclosure.
In accordance with article XXIII, section 210, of the Charter of the City of New Haven, interests requiring disclosure shall
but not be limited to the foliowing:
1. Where a member of the immediate family of a member of a board, commission or task force is employed by the Ci
New Haven;
2. Where a member of a board, commission or task force is employed by a nonmunicipal agency the funding of whict
in part or in its entirety, provided by funds authorized by the City of New Haven;
3. Where a member of a board, commission or task force serves on the board of directors or governing board of a
nonprofit organization when said organization is engaged in the application of federal, state or locai funding authorized
the City of New Haven;
4. Where a member of a board, commission or task force serves on the board of directors or governing board of a
nonprofit organization when said organization is lobbying for specific legislation before the City of New Haven or when
organization is lobbying for specific State of Connecticut legislation which will result in the city receiving funding which
controlled by the city board, commission or task force of which the individual is a member;
5. Where a member of a board, commission or task force serves on the board of directors or governing board of a
nonprofit organization when said organization is engaged in litigation against the City of New Haven;
6. Where a member of a board, commission or task force accepts an offer of employment, whether paid or unpaid, b)
City of New Haven or by a program recommended by said task force but has not yet resigned or retired from said boar
commission or task force to accept said offer of employment;
7. Where a municipal employee or public official has a financial or personal interest in a contract which was entered F
to the time of his nomination, appointment, election or employment to said position, so long as said contract is not
renewed, amended or modified subsequent to his assuming public office;
8. Where an employee or public official seeks or obtains employment with a person, company or corporation engage~
business with the City of New Haven but has not yet resigned his position assume said employment;
9. Where an employee or public official applies for a city program or benefit over which he has control, influence or
discretionary authority.
2. l.egislators Employed by City
To discuss this provision, click here.
A member of the legislative body has a conflict of interest with respect to any labor contract to which he or she, or a member
or her household*, may be a party, and with respect to an appropriation to any city department or agency through which he o
or a member of his or her household, is employed.
Comment: Some cities require that there be no incompafible or even muftiple offices held by an individual, especially a coun
member, so that this problem could only arise with respect to members of ihe household. In towns and small cities, it is more
difficult to make such requirements, because there are sometimes too few competent and interested people to go around. Al;
recusal can take care of instances such as those described in this subsection. But explicit restrictions in this area, especially
large cities, can be valuable.
3. Recusal
To discuss this provision, click here.
2. An official or employee* must refrain from acting on or discussing, formally or informally, a matter before the city, i
acting on the matter, or failing to act on the matter, may personally* or financially benefit* any of the persons or entitie;
listed in subsection 1 of this section. Such an official or employee should join the public if the recusal occurs at a publii
meeting, or leave the room if it is not a public meeting.
3. An official or ernployee* must refrain from acting or discussing, formally or informally, a matter involving a person ~
appointed or recommended him or her for that position, if he or she is aware of such appointment or recommendation.
4. If a board or agency member is requested to recuse himself or herself with respect to a matter, for the reason that
or she has a conflict of interest, by
1. another member,
2. a party to the current matter, or
3. anyone else who may be affected by a decision relating to this matter, the member must decide whether
recuse himself or herself.
If the member decides not to recuse himself or herself, the unchallenged members must consider any relevant evidf
concerning such claimed conflict of interest, as defined in this code, and vote whether or not to allow the request an,
require that the member refrain from participating in the matter.
5. Rule of Necessity: If recusal would leave a board with less than a quorum capable of acting, members must discl<
their conflicts on the public record, but they may then vote. If an afficial or employee* is the only person authorized by
to act, the official or employee* must disclose the nature and circumstances of the conflict to the Ethics Commission e
ask for a waiver or advisory opinion.
Comment: "Acting on and discussing, formally or informally" means that the official should withdraw from any involvement v
the matter, including conversations, appearances at meetings or portions of ineetings concerned with the matter, and voting
the matter, except, of course, in a public referendum.
the
his
36
JVIIICIIIIICJ 11lcll.UVll UCIICIILJ dll Ullil;idl UI ius ur ner ciuse assoaates - ror exampie, wnen a coae enrorcement ornciai taus to ~
her brother for a zoning violation. That is why this subsection prohibits an official's inaction, as well as action, in certain
circumstances. In such an instance, the enforcement official should ask someone else to handle the matter.
See 101 for provisions concerned with the disclosure of a conflict pursuant to this subsection. Because disclosure in this sort
situation occurs at the time a conflict becomes immediately relevant to an action or transaction to be taken by an official or
employee, this is referred to as "transactional disclosure."
4. Gifts*
To discuss this provision, click here.
1. An official or employee*, his or her spouse or domestic partner*, child or step-child, parent, or member of his or he
household*, may not solicit nor accept anything of value from any person or entity that the official or employee knows,
has reason to believe, has received or sought a financial benefit*, directly or through a relationship with another persor
entity, from the city within the previous three years, or intends to seek a financial benefit in the future. If in doubt, the oi
or employee should refrain from soliciting or refuse a gift, and should first inquire into the person or entity's relationship
the city. [or: If the official or employee* does not know whether a person or entity fits this description, he or she should
inquire and, if it is discovered that the person or entity does fit this description, the gift should be returned (or its monet;
value if it cannot be returned) and no further gifts accepted during the relevant period.]
2. A person or entity that has, in the last three years, received or sought, or is seeking, a financial benefit, directly or
indirectly, from the city, may not give or seek to give anything of value to any official or employee.
3. Gifts of property, money, or services given nominally to the city must be accepted by a resolution of the legislative
body.
Comment: The first sentence of subsection 4a is difficult, even if the language itself is not. Here it is broken down and explair
Who cannot accept or solicit gifts: An official or employee, his or her spouse or domestic partner, child or step-child, parent, o
member of his or her household
What a gift is: anything of value (see the definition at 111(6) and the exceptions in 102)
Whom one cannot accept gifts from: any person or entity that has received or sought a financial benefit from the city within thi
previous three years, or that intends to seek a financial benefit in the future.
Must the gift giver have directly received or sought a financial benefit from the city? No, it also counts if it sought a financial bf
through a relationship with someone or some entity. See this City Ethics blog post for an example of indirect benefit.
What the official or employee must know about the gift giver's relationship with the city: he or she must know the gift giver's
relationship with the city, or know enough that he or she has reason to believe that such a relationship may exist. If uncertain,
gift should be refused and questions asked.
With respect to higher officials and department heads, and for officials and employees who deal directly with contractors and
permitees, a city might choose to prevent them from receiving any gifts at all, other than campaign contri6utions and gifts fror
close relafives.
Cities have taken a great variety of approaches to the gift problem. The approach here is to limit only gifts from people and er
that do business with or otherwise gei financial benefils from the city, including permits, zoning approval, etc. Other common
approaches are to limit the amount of gifts or to limit the type of gifts or the fype of givers.
There are two principal goals here: (1) to give clear guidance to officials, employees, and potential gift givers; and (2) to ensu
ciry residenis that iheir public servants are not accepting gifts from people and businesses who might be trying to influence th
whether or not that is a purpose for the gift (since no one can ever know the purpose).
The choice of ihe above approach is intended to keep the process simple: if there is any question of the giver's relationship vt
the city, do not accepi the gift. If there is any reason to believe there is an improper motive behind the gift, do not accept it. TI
are exceptions to ihis rule below (at 102), but they are few and essentially allow just a lunch or two each year.
Another approach to gift-giving is to require the annual disclosure of all gifts either by itself or in addition to prohibitions. This,
a great deal of pressure on the ciry's informal oversight resources (citizen and media), since such gifts would be out of ihe
jurisdiction of official boards. Since party organizations provide the most effective informal oversight in most communities,
depending on disclosure will politici2e this part of the city's ethics process. Here is language for that approach:
Offcials and employees must file with the Ethics Commission, on or before January 31, a list of all gifts received during the
preceding calendar year by them or by their spouse or domestic partner, child or step-child, parent, or member of their house
to the extent that the aggregate amount of gifts received from an individual or entity (including gifts from all employees, partni
or investors) during the year is $50 or greater. Information to be disclosed is as follows:
1. the date the gift was received and who received it;
2. a description of the gift;
3. the fair market value of the gift;
4. the name, address and employer of the person who provided the gift;
5. the name of any organization or individual represented by the person or on whose behalf the person was acting
providing the gift.
Another common approach, which I included as an alternative in my original text, is to make it a violation of the ethics codes
take gifts with an understanding that some action will occur or not occur in return (usually the language includes the word
"influence'). The problem is that ihis is not an ethical issue, but rather a crime. The gift is no longer a gift, but a bribe. Ethics
commissions have no jurisdiction over this sort of crime, so it is best that this language not appear in an ethics code.
Please provide language for alternative approaches, and provide arguments for and against approaches, as well as instancc
where certain approaches have worked or not worked, in terms of providing guidance as well as limiting questionable gift-gi\
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5. Specia! Consideration
To discuss this provision, click here.
An afficial or empioyee* may not grant or receive, directly or indirectly, any special consideration, treatment, or advantage be
what is generally available to city residents.
Comment: See the exception in the second sentence of subsection 6 below, which also applies here.
This provision is often called "Preferential Treatment. " Whatever it's called, ii's probably ihe most misunderstood provision in
ethics codes, because out of context almost everything an official does can be seen as giving someone preference over som
else (take hiring, for example). See this City Ethics btog posf for an in-depth discussion of what special consideration or treat
is and is noi.
Some cities use the language of misuse of office (or of the "prestige" of office) here. I think it is unnecessary, but here is the I
Model Code version:
No public servants shall use or attempt to use their official positions improperly to unreasonably request, grant, or obtain in a
manner any unlawful or unwarranted privileges, advantages, benefits or exemptions for themselves, or others, and no public
servants shall use, or attempt to use, their positions to avoid the consequences of illegal acts for any person; nothing in this
provision shall be construed to prohibit or discourage any public servant from performing any official duty or action zealously
enthusiastically.
Representation
To discuss this and the following provision (Appearances), click here.
An official or employee* may not represent any other person or entity before the city, nor in any matter not before the city, but
against the interests of the city. However, it is acceptable for elected officials to represent constituents without compensation i
matters of public advocacy.
Comment: The second sentence of this subsection recognizes that officials are elected to serve their constituents. Thus, for
example, when a resident complains to a council member that the public works department blocks the residenYs driveway witf
snow, a council or board member must be able to pursue that complaint with the proper city authorities.
Some cities go into more detail and cover more people in their limitations on representation. Such provisions include the
representation by business associates of officials and employees, and acting as an expert witness before the official or
employee's board or agency.
7. Appearances*
To discuss this and the previous provision (Representation), click here.
An official or empioyee* may not appear` before any city department, agency, board or commission, except on his or her own
behalf or on behalf of the city. Every time an official or empioyee appears before the meeting of any municipal body, or when e or
she writes a letter to the editor or other publicly distributed writing, he or she is required to disclose before speaking or clearly n
the writing whether he or she is appearing in an official capacity or as a private citizen. If the speech or writing is in response t
criticism or other communication directed at or regarding his or her official role, the official or employee may respond only in h or
her official role.
Comment: Subsections 6 and 7 appear to overlap, because one who represents another usuaily makes an appearance.
However, it is much more clear when an "appearance" has been made than when there is a"representation" relationship, so
including both makes it more clear what conduct is being prohibited. Also, subsection 6 includes representation of private inte ests
outside of the city's own boards and departments, when it is against the interests of the city, usually but not exclusively when he
city is a party to business or a proceeding. And subsection 7 deals with appearances where the official is representing himsel or
herself, but it is not clear which hat the official is wearing.
Again, the general rule is that if others see your relationship with a person or entity as "representation," then you should not d it,
because it would be perceived as a conflict with your principal role of representing the city. Similarly, if your appearance at a
meeting or in writing does not appear to be in the city's interest, you should not appear.
Why are officiais and employees restricted from appearing before boards or agencies other than their own? Because restricti g
only appearances before your own board or agency would, for example, allow a code-enforcement official or the city attorney o
represent private clients before the city planning board, because those officials are not members of that board. It would be ve
difficult to list every possible instance where an appearance before other boards and agencies would be inappropriate. When
there is no such conflict, an official or employee should obtain a waiver from the Ethics Commission pursuant to 210.
Some municipalities may go beyond actual representation, and include assistance or legal assistance, with an exclusion for
representation or assistance in the performance of the official or employee's otficial duties.
For volunteers, towns might want to limit restrictions on representation and appearances to their own board or commission,
especially those on boards where the oppoRunity for conflict elsewhere is very small, such as the library board. A list of boar
where this exception applies could be added to a subsection 8 that read:
8. Volunteer members of the following boards and commissions may represent persons and entities before, or appear before, any
town department, agency, board, or commission other than their own.
8. Confidential fnformation
To discuss this provision, click here.
An official or employee*, a former official or employee, a contractor or a consultant* may not disclose any confidential informa ion
obtained formally or informally as part of his or her work for the city or due to his or her position with the city, or use any such
confidential information to further his or her own or any other person or entity's personal* or financial interests*.
Comment: Some cities will want to define "confidential information" more exactly. Here is possible definition language, base on
the IMLA Model Code:
"Confidential information" means information obtained in the course of holding public office or employment, or as a contractor to
the city, which is not available to members of the public and which the official or employee* is not authorized to disclose, exc pt to
designated individuals or bodies, including written and non-written information. When such information is also available throu h
channels open to the public, officials and employees' are not prohibited from disclosing the availability of those channels.
3S
i iie nwvA ivwuei uoae siates expucitry, in its conriaenuai intormauon provision, tnat an etnics commission is, ettectively,
considered a designated body.
9. Political Solicitation
To discuss this provision, click here.
An official, employee, or municipal candidate may not knowingly request, or authorize anyone else to request, that any
subordinate* or potential future subordinate participate in an election campaign or make a politicai contribution. Nor may he
engage in any political activity while on duty for the city, with the use of city funds, supplies, vehicles, or facilities, or during :
period of time during which he or she is normally expected to perform services for the city, for which compensation is paid.
Comment: Political solicitation of subordinates by an official fosters the appearance,
if not the reality, of coercion. The word "knowingly" here means that neither an official nor a campaign committee is required t cull
the names of municipal officials from voter registration lists it mails to. However, a targeted mailing to municipal officials is
prohibited.
Similarly, candidates are barred from soiiciting from appointed officials and employees who may fear reprisal, such as being fi ed,
if they refuse to aid the candidate's campaign, even if they do not currently work under that candidate.
Note that this code does not restrict voluntary political contributions or political activity by any official or empioyee.
Some municipalities may wish to add a bar on soliciting from persons or entities that have sought or received a financial bene it
from the municipality wiihin ihe previous hventy-four months.
10. Paironage
To discuss this provision, click here.
No official or employee* may promise an appointment or the use of his or her influence to obtain an appointment to any positii
as a reward for any political activity or contribution.
Comment: As has been shown so skilifully in Chicago, patronage involves both promises of jobs in return for political activity,
the threat of losing jobs in return for political activity, so that patronage continues on forever. Even the Shakman Decree of 19
did not put an end to the Chicago patronage system: it just went underground. It was twenty years before the new version, ba
on fraud, was taken on.
Most ethics codes do not include patronage provisions, although many do prohibit asking subordinates to participate (howeve
this can occur without implicit requests or threats). Pafronage involves [he most basic conflici of interest in government: the
conflict between holding on to power and acting in the public interest. A city government based on patronage cannot have a U
ethical environment, because most of its officials and employees are there on the basis of a quid pro quo/special consideratio
relationship, which is inconsistent with ethics.
1 would like to hear how various cities have dealt with or ignored patronage as an ethics issue.
11. Revolving Door
To discuss this provision, click here.
a. Representation. For a period of two years after the termination of his or her city service or employment, an official or
employee* may not, on behalf of any other person, for compensation, directly or indirectly, formally or informally, act as agenl
attorney, lobbyist, or other sort of representative, to or before his or her former agency, department, authority, board, or
commission. For the purposes of this provision, a mayor, chief of staff or vice-mayor, city manager or assistant manager, cou
member or council aide is deemed to have worked for every city department, agency, authority, board, and commission. Actii
indirectly includes action by a partner, associate, and other professional employee of an entity in which the former official or
employee is a partner, associate, or professional employee.
b. Particular Matters. With respect to particular matters on which the official or employee personally and substantially worke
while in city service or employment, the foregoing prohibition is permanent.
c. Area of Responsibility. With respect to matters for which the official or employee had official responsibility, but were not
personally and substantially involved, the foregoing prohibition is for a period of two years after termination of city service or
employment.
d. Employment. An official or employee* may not accept employment (a) with a party to a contract with the city, within two y rs
after the contract was signed, when he or she participated personally and substantially in the preparation, negotiation, or awa d of
the contract, and the contract obliged the city to pay an aggregate of at least $25,000; (b) with an individual or entity who has,
within the previous two years, benefited directly from any decision made by the official or employee or by a subordinate. An
elected or appointed official may not accept employment if the body of which he or she is a member or was a member within he
previous two years had any role in filling the job, including an advisory role. A mayor, chief of staff or vice-mayor, or council
member may not, for two years after termination of city service or employment, accept any full-time compensated position wit the
city.
e. Exceptions. Former officials and employees are not prohibited from acting if:
1. They are working for the city on a volunteer basis.
2. They are acting on behalf of another federal, state, or local government.
3. They are giving testimony under oath and is not being compensated for it.
4. They are providing scientific or technological information at the governmenYs request,
e. They performed only ministerial acts*.
f. Waivers. The Ethics Commission may waive the prohibitions of this provision if it determines that the situation does not
potential for undue influence, unfair advantage, or a serious appearance of impropriety. See §210 for the waiver process.
Comment: "Personally worked" means the official actually worked on the matter, not that he or she supervised a departm
worked on the matter, which is included under having "official responsibility."
The appearance of impropriety of getting a job based on what you did as a city official or employee is so great that each offic 1 or
employee should err on the side of not seeking or accepting work with people or firms that had business before his or her ag ncy
or board.
39
il dll v1110ci vl C,npuyee is nui cerrain wnerner rnis provision appues ro worK rney are seeKing or are requestea to do, and doe
not want fo turn it down, he or she should ask the Eihics Commission for an advisory opinion or a waiver.
This provision is intended to, as stated in the waiver section, prevent people and firms from having undue influence or unfair
advantage by hiring officials and employees to help them use their contacts before iheir agencies or boards. In addition, it is
intended to make it harder for firms to use a job offer to get special treatment from officials and employees. And it is intended 10
prevent otficials and employees from using iheir positions to gain jobs with firms that have business before them and, similarl to
prevent the appearance of impropriety that arises when an official takes a job with a firm that had business before his or her
agency or board.
In short, it is important that officials focus on the public interest while in olfice, and not have an incentive to give preferential
treaiment fo firms or individuals who may hire them when fhey leave public service.
One year is too short a time period to accomplish the goals of a revolving door provision, but the longer the bar, the more diffi ult
it might be to hire qualified officials or find qualified candidates for otfice. This is the trade-off every local government must ma e i,
setting the time period. Two years is a reasonable compromise beiween etfeciiveness and ihe burden on government officials
Allowing former officials to immediately work for the city as paid consultants would allow ihe official to continue to act in the cit 's
interest, bui such an exception would allow for sweetheart deals beiween the city and former oNicials, who normally have the
edge in competing with vendors lacking their municipal contacts. Therefore, according to ihis subsection, a former official coul
consult to the city only on a volunteer basis for his or her first year afrer city service.
The conficientiai infarmation provision also applies to former oHicials and employees. And the other side of the revolving door,
from business to government, is dealt with in § 100(b), as a conflict of interest.
12. Misuse of City Property and Reim4ursements
To discuss this provision, click here.
An official or employee* may not use, or permit others to use, any property owned by the city for profit or personal convenienc
benefit*, except (a) when available to the public generaliy, or to a class of residents, on the same terms and conditions, (b) wY
permitted by policies approved by the city's legislative body, or (c) when, in the conduct of official business, used in a minor w
for personal convenience. This applies not only to objects such as cars and trucks, but also to travel and other expense
reimbursements, which may not be requested for nor spent on anything but official business.
Comment: The IMLA Model Code takes this further by requiring care in the use of city property, so that there is no waste. Th~
an essential element of government ethics, but it is a difficult thing to put into law. People - especially opposition parties - ofte,
paint other people's actions as wasteful and negligent. The duty fo use city property and resources with care belongs in the
aspirational seciion of an ethics code, or it invites frivolous complaints, making it almost impossible to reject any complaint as
frivolous.
13. Nepotism
To discuss this provision, click here.
1. Unless he or she obtains a waiver pursuant to 210, no otficial or employee* may appoint or hire his or her spouse
domestic partner*, child or step-child, sibling or step-sibling, parent, or member of his or her household' for any type c
employment, including by contract (unless competitively bid), with the city.
2. No official or ernployee* may supervise or be in a direct line of supervision over his or her spouse or domestic par
child or step-child, sibling or step-sibling, parent, or member of his or her household*. If an official or empioyee* come
a direct line of supervision over one of these persons, he or she will have six months to come into compliance or to ot
a waiver.
14. Transactions with Subordinates
To discuss this provision, click here.
No official or employee'` may engage in a financial transaction, including the giving or receiving of loans or monetary contribut ons,
including charitable contributions, with a subordinate* or person or business over which, in the officiai or employee's* official d tie:
and responsibilities, he or she exercises supervisory responsibility, unless (a) the financial transaction is in the normal course f a
regular commercial business or occupation, or (b) the financial transaction involves a charitable event or fundraising activity w ich
is the subject of general sponsorship by a state or municipal agency through official action by a governing body or the highest
official of state or municipal government.
Comment: Exception (b) allows for United Way campaigns and the like, but officials should be careful not to abuse this exce tion
by getting pet charities approved by the mayor or city manager. Too often, charities are as much about the official as election
are, and even good causes should not be aided through coercion.
Some cities might also want to except situations where the subordinate or business offers or initiates the financial transaction, but
this exception can be abused in instances where a subordinate or business acted under pressure and does not feel in a posit n
to anger a supervisor or someone responsible for handing out contracts.
Some cities might also want to broaden the range of relations ihat constitute nepotism to include, say, aunts and uncles, nep ews 11
and nieces, and direct in-laws.
15. Fses and Honorariums
To discuss this provision, click here.
No official or employee* may accept a fee or honorarium for an article, for an appearance or speech, or for participation at an
event, in his or her official capacity. However, he or she may receive payment or reimbursement for necessary expenses rela
to any such activity.
16. Endarsements
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No official or ernployee* in his or her official capacity may publicly endorse products or services. However, this does not
an official or employee from answering inquiries by other governmental officials, consumer organizations, or product infr
services regarding products or services.
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17. Cansultants*
To discuss this provision, click here.
A consuitantk may not represent a person or entity other than the city in any matter, transaction, action, or proceeding in whic the
consultant participated personally and substantially as a consultant to the city. Nor may a consultant represent a person or entty
in any matter, transaction, action, or proceeding against the interest of the city.
Comment: Other rules that apply expressly to consultants are 100(8) (Confidential Information), 100(21) (Honesty in Applicati n
for Positions), and 101(2) (Transactional Disclosure). Also see the comments to 100(11), the revolving door provision.
Many codes also include language such as: A consultant may not accept other employment that will either impair the consulta t's
independence of judgment with respect to the consultant's official duties for the city, or that will require or induce the consulta to
disclose confidential information pursuant to subsection 8 of this section. The same problem appears as in the comments to 100
(1) above: how does one know or prove that employment will impair someone's judgment or induce someone to disclose
confidential information? lt is enough that consultants are prevenied from representing parties against the ciry or in matters th
city hired them to deal with, and ihat they be included in the confidential information provision, 100(4).
18. Complicity with or Knowledge of flthers' Violations
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No one may, directly or indirectly, induce, encourage, or aid anyone to violate any provision of this code. If an officiai or empla ee*
suspects that someone has violated this code, he or she is required to report it to the relevant individual, either the employee'
supervisor, the board on which the official sits or before which the officiai or employee* is appearing* or wiil soon appear, or th
Ethics Commission if the violation is past or if it is not immediately relevant to a decision, to discussion, or to actions or
transactions. Anyone who reports a violation in good faith will be protected by the provisions of 110.
Comment: This subsection seems to turn all city officials and employees into stool pigeons. But, in fact, a principal reason wh
ethics programs are ineffective is that otficials and employees feel they can get away with unethical conduct because no one ill
turn them in. Instead of having a culture based on efhics, their city has a culture based on loyalty. People in such a city ignore
confiicts of interest, because they feel protected. There are two reasons for this: (i) no one wants to be a tattle-tale and (ii)
everyone is afraid to be a tattle-tale, because doing so might threaten their jobs, lead to harassmeni and failure to advance, o
undermine their relations with people in power.
This subsection, along with the whistle-biower protection in 110, allows the people who know most what is going on in ciry
government - city employees - to safely foster an ethical environment by preventing action in the public interest from being ag insi
their self-interest. The inclusion of ihis provision makes it clear to all officials and employees that government ethics is a grou
activity, that unethical behavior is less an individual problem than an organizational problem.
Such a provision appears in the IMLA Model Code; the comments to the IMLA provision state, in part, "Even if a community
uliimately decides not to impose any duty [to reporf violations], it would be beiter off for having debated the issue. "
Whether or not anonymous reports would be accepted is another area for debate. Creating a hotline for reports of violation
(anonymously or not) makes it easier for city employees and others to fulfill their duty to report violations. As long as the ethic
commission can file its own complaint in such an instance, there is the protection for respondents that the ethics commission ust
feel satisfied, after a preliminary investigation, in the truth of the report. People's experiences with such hotlines, good and ba ,
would be very helpful, as would information about debates about the duty to report and about hotlines and anonymous reporti g of
violations.
Back to tattling, which is rarely defended in a rational way. Not tattling is something very important in childhood, where it help
maintain solidarity of children against adults. But for adults there is not a group to maintain solidarity against (hopefully not th
city's residents, to whom officials have a fiduciary duty) and, iherefore, this sort of unquestioning loyalry is inappropriate. The est
thing to do, before reporting, is to try to prevent uneihical conduct before it occurs, to directly recommend, for example, that
someone recuse himself or herself or seek advice from the ethics commission. But it is important that officials and employees
know that unethical conduci will not be protected by the silence of fear or misplaced loyalty.
The first sentence of this subsection, on complicity and inducement, is equally important. Under most ethics codes, a private
citizen or company that induces a municipal official to violate ethics laws runs no risk of penalty. For example, hoping fo keep
city's business, a bank might give a personal loan to the city treasurer at a below-market interest rate. If this loan is discovere ,
the official might lose his or her job as a result; however, the bank will lose nothing and, more important, knowing this, it is mo e
likely to offer the loan. Since the goal of this code is to prevent conflicts between the official's interests and the public interest, it is
important that the code also make it less likely that officials are tempted into these conflicts. Please share your experiences w th
provisions such as this, including instances where suiis have been brought, arguing that ethics commissions have no jurisdicton
over anyone other than public servants.
19. Faisely Impugning Reputation
To discuss this provision, click here.
An afficial or empioyee* may not falsely impugn the reputation of a city resident. if an official or empioyee* believes his or her
accusation to be true, and then learns that it was false, even in part, he or she should apologize in the same forum the
accusations were made. A failure to so apologize within a reasonable period of time after learning of the falseness of the
accusations will create the presumption that the conduct was fully intentional.
Comment: A common way for officials to intimidate residents who speak out and to prevent others from similarly speaking ou
to use their positions of respect to falsely attack people who lack such positions, and thereby destroy their reputation and the
legitimacy of their arguments, so that opposition from that individual and others wili lessen. This form of misuse of office is cer
to undermining free debate as well as citizen oversight of executive and legisiative actions.
20. Meeting Attendance
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All members of boards and commissions are expected to attend and be prepared for meetings. It is a violation of this code to
or come unprepared to more than a third of a board or commission's meetings in a twelve-month period.
Comment: If a member must miss or come unprepared for more than a small number of ineetings, he or she shouid resign,
whether or not his or her reasons are good ones. One can always ask to return to a position when one's health or schedule h
improved.
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21. Hanesty in Appiicatians for Positions
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No person seeking to become an officiai or einpioyee;* consultant* or contractor may make any false statement, submit any
document, or knowingly withhold information about wrongdoing in connection with employment by or service for the city.
To discuss other provisions, including those suggested below, click here.
Additional Comment to 100: Some codes, including the IMLA Code, make it an ethicaf duty to comply with laws, including
criminal laws, discrimination and sexual harassment laws, and lobbying laws. The chronic violation of more minor laws and rL
is also sometimes cited.
It is a difficuli question whether to involve an ethics commission with every violation of law. Criminal and other undesirable ac
by public servants certainly undermines the public trust in municipal government. But is the ethics process the right place to c
with such matters, or are ihey better dealt with by supervisors or, in the case of elected officials, by voters? The duty to comp
with laws is not included here because, as long as the violation of other laws is made public, criminal and other proceedings
should deal with them as well as ihe ethics process. However, if the violation is somehow hidden from the public, it might be
appropriate for an ethics commission to make the violation public. Has anyone seen language to this effect?
I believe that cities should consider special ethical guidelines and rules for city attorneys. This is a complicated area, where it
sometimes not clear what it means to represent the city (the mayor, the council, the public interest in such things as truth,
openness, ane fair process). I feel that guidelines are important not only for attorneys, who often do not recognize the special
conflicts they face, but also to protect the public interest, which is harmed by city attorneys who ignore conflicts in the name e
representing their client. Who their client is in each sort of instance needs to be clarified. Attorney conflicts of interest are covi
by their state's disciplinary rules, but (i) these rules are enforced by lawyers rather than city residents; and (ii) these rules do i
deal with the special conHicts that city attorneys are faced with. I would like to see a discussion about it, including recommenc
provisions to deal with the problems practitioners, both lawyers and non-lawyers, have witnessed.
101. Transactional Disclosure.
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1. Whenever an official or employee' has reason to believe that he or she should recuse himself or herself under 100(3) of th
code, he or she must:
1. immediately refrain from participating further in the matter, formally or informally;
2. promptly inform the appropriate individual or body, pursuant to subsection 3 below, that he or she has a conflict; a
3. promptly file with the city clerk a signed statement disclosing the reasons for recusal or, if a member of a board or
commission, state this information on the public record of that board or commission.
Comment: In subsection 1(c) and in 104(2J there are references to placing information on the public record. This appears to
assume that municipal meetings have a published iranscript or, at least, a recording, video or aural, thai is available to the pi
But especrally in smaller cities and towns, and in less important meetings, this is not the case. How have cities dealt with this
problem of not having a public record to place disclosures on? Is it required that minutes include all disclosures?
2. Whenever someone suggests or requests (privately or publicly) that an official or employee* recuse himself or herself ur
100(3) of this code, and he or she chooses not to do so, he or she must promptly file with the city clerk a signed statement
disclosing the reasons for refusing to recuse himself or herself or, if a member of a board or commission and if the suggesl
made publicly at a meeting of that board of commission, state this information upon the public record of that board or comr
Comment: See the comment to 700(3) for more information.
3. An official ar ernpioyee* is required to inform the appropriate individual or body pursuant to subsection 1 b, as follows:
1. If a member of a board, commission, committee, or authority, inform the chair or the entire body at a public or
executive session; if the chair, inform the secretary;
2. If not on such a body and appointed by the city manager/d i rector of administration/mayor, inform the city
manager/director of administration/mayor;
3. If an employee of the Board of Education, inform the Superintendent of Schools;
4. If the Superintendent of Schools, inform the chair of the Board of Education;
5. If an elected official, inform the mayor;
6. If a consultant,* inform the chair or head of the board, department, or agency that hired the consultant.
4. An afficial or employee* with an interest in a contract must disclose this interest prior to the first of any of the following
1. The solicitation of the contract.
2. The bidding of a contract.
3. The negotiation of a contract.
4. The approval of the contract.
5. An official or employee* need not file a disclosure statement pursuant to this section if he or she, with respect to the same
matter, has, with respect to an interest in a contract with the city, filed a disclosure statement pursuant to this code.
Comment: Transactional disclosure provides specific disclosure when a conflict arises, that is, when an olficial or employee'
personal relationship or inierest actually creates a conflici with the public interest. It is at this point that it is most important th t the
official or employee seriously consider the effecfs of this conflict on his or her actions or judgment, as well as the effects on h w
his or her involvement would appear to the public if it knew about the conflict.
Subsection 3: These specitic guidelines to informing of conflicts should be adapted to each city's particular form and structur
40
102. Exclusions from the Code of Eihics and fram Transactional Disclasure.
To discuss exclusions and waivers, click here.
The provisions of 100 and 101 of this code do not require recusal or transactional disclosure as a result of:
1. An action specifically authorized by statute, rule, or regulation of the State of or of the United States.
2. A ministerial act*.
3. Gifts* (a) received by the official or employee* from his or her parent, spouse or doinestic paitner*, chiid or step-c
or sibling or step-sibling; (b) received by the official or employee, his or her spouse or domestic partner, child or step-c
parent, and member of his or her household*, from a person or entity (any person who works for or is otherwise relate
an entity is considered as having given on behalf of that entity), having an aggregate value of $50 or less during any t
-month period; or (c) accepted on behalf of the city and transferred to the city pursuant to 100(4)(b).
4. Gifts* or financial benefits* having a value of $50 or less that are received by a city officiai or employee for the
solemnization of a marriage officiated by that official or employee at a place other than his or her normal public place,
business and at a time other than his or her normal work hours.
5. Public awards from charitable organizations having a value of $100 or less.
Comments: Subsection 3 contains an annual dollar limit for gifts given to an official or employee plus his close relations. Ma
ethics codes' dollar limits are per gift, usually around $50, in the belief that taking an official out to lunch is acceptable. Howe
such a limit is easy to get around by giving lots of small gifts to officials and iheir relatives, which add up to large gifts over tir
Another way around such a rule is to give large gifts that are naturally spread out over time, such as a restaurant or club tab,
season tickeis. Other codes' gift rules contain many detailed instances and amounts, for such things as private or public or
charitable functions. A simpler rule, with an annual limit, is more clear and therefore provides better guidance. I would like to
people's opinions about this, as well as their experiences with the approaches: how successful ihey've been, how they've be
enforced, etc.
103. Annuai Disciosure.
To discuss this provision, click here.
1. Officials, Employees, and Others Who Are Required to File.
Those holding the following job titles or positions are required to file a signed annual disclosure statement:
1. Elected officials;
2. Department heads and those authorized to act on their behalf (e.g., first deputies);
3. Oificials and ernpioyees* who hold policymaking positions, including members of municipai boards, such as ethics
commissions, finance boards, planning and zoning boards, boards of zoning, buildings, and assessment appeals, wetl~
and conservation boards, economic development boards, and parks and recreation boards;
4. Officials whose job descriptions or whose actual duties involve:
1. The negotiation, authorization, or approval of contracts, leases, franchises, revocable consents, concessic
variances, special permits, or licenses;
2. The purchase, sale, rental, or lease of real property, personai property, or services, or a contract for any o
these;
3. The obtaining of grants of money or loans; or
4. The adoption or repeal of any rule or regulation having the force and effect of law;
5. candidates for elected office;
6. political party committee officers; and
7. relatives of officials and employees who, pursuant to subsection 5(d) of this section, are required to file
because they are employed by the city, but who would not otherwise be required to file.
2. Time and Place for Filing.
a. Annual disclosure statements (for the calendar year) are to be filed with the Ethics Commission:
(i) Within one-hundred-and-twenty days after the effective date of this section;
(ii) Within thirty days after taking one of the job titles or positions listed in subsection 1 of this section; and
(iii) No later than May 15 of each year thereafter.
b. For candidates for elected office:
(i) With the filing of the certificate of candidacy or declaration of intent.
(ii) No later than May 15 of each year thereafter. If an annual disclosure statement is overdue and is not filed within 20 days
the candidate receives from the Ethics Commission written notice of the failure to file, the candidate is considered to have
withdrawn his or her candidacy.
3. Changes in Disclosed Information.
Within thirty days after a change in the information contained in his or her most recently filed annual disclosure statement, an
official, employee, or candidate must file a signed amendment to the statement (as in subsection 2), indicating the change.
4. Contents of Annual Disclosure Statement.
The annual disciosure statement will include:
a. The location of any real property in the city, or within one mile of the boundary of the city, in which the person disclosing,
or her relative*, has a financiai interest*, and the type of financial interest.
b. With respect to each outside employer or business* of the person disclosing:
(i) Its name (if any);
(ii) The nature of its business;
his
43
kw) n n is an enuiy, tne rype oT enury;
(iv) The person disclosing's relationship to it, such as sole proprietor, owner, partner, official, director, member, employee,
bondholder, or shareholder.
c. With respect to each outside ernployer or business* of the person disclosing's spouse or domestic partner*, the information
required by paragraph (b) of this subsection.
d. The names and addresses of all relatives* employed by the city as employees, contractors, or consultants', including relati)
who work for or are subcontractors of contractors, consultants*, or subcontractors.
e. Failure to disclose the information required by subsection 4 of this section with respect to a person disclosing's spouse or o
relaiive* does not constitute a violation of that subsection if the person disclosing made a good faith effort to obtain the inform
and if he or she also sets forth those efforts in his or her disclosure statement.
5. Any person who is subject to the disclosure provisions of this and the following subsection is required to obtain and prese
for a period of three years following the date of the relevant disclosure statement, all accounts, bills, receipts, and other
documents necessary to complete and substantiate such disclosure statement. These documents will be made available for
inspection upon request by the Ethics Commission or its agent after reasonable notice.
6. The Director of Finance must certify to the Ethics Commission, no later than May 15 of each year, a list of all business enti
doing business with the city, currently bidding for business with the city, or that have done business with the city over the prio
three years. This list will be made available to the public at no cost.
Comment: While less significant than transactional disclosure, annual disclosure does fill an important role in an ethics progr,
in particular, annual disclosure reveals potential conflicts of interest before they arise and thus alerts the official - and the citiz
- to those potential conflicts. Annual disclosure thereby provides a check on transactional disclosure and protects officials by
identifying potential ethical pitfalls, which the official can then take steps to avoid.
Politicians often focus their condemnation of ethics codes on annual disclosure statements. They insist that forcing people to
disclose their interests will prevent people from getting involved in city government. But the disclosure statements in this mod
code are far from what, say, U.S. Senators are required to file. No one is being asked to disclose how wealthy or poor they ar
They are only being asked to say who their employer is (not what they're paid), what local companies they have financiai inte
in (not how big their interest is), what land they own in the municipality, and which of their relatives work for the city. The only
people who will truly mind disclosing this information are those who have so many interests or involved relatives, or so much
in town, that they probably would face many conflicts of interest and, therefore, should probably not be involved in city
government, except in areas that do not deal with businesses, developers, or contractors. After ali, the biggest complaint peo
have about municipal governments is that they're run by local businessmen, developers, and contractors, those who represer
them, and their relatives. This problem is only compounded when officiais do not want to admit publicly what they do for a livii
Some cities will want to go beyond these minimal disclosure requirements, especially for senior officiais. Such cities will want
annual disclosure of all information directly relevant to the ethics code, including ail interests, direct and indirect, that might cc
with government responsibilities (see 100(1 ) above). Major debtors and creditors may also be listed, as well as any applicatio
made to the city during the year. it may be specified that the disclosure statement is being filed under oath.
Subsection 1: For the sake of clarity, each municipality should list the job titles or positions of the persons required to file anni
disclosure statements.
Subsection 2: May 15 was chosen because it is one month after personal income tvc returns are due, providing them with bo
fresh information and the time to prepare the disclosure statement.
Subsection 4: In the event a person disclosing, after a good faith effort, is unable to obtain the required information from an
estranged spouse or from a relative, he or she need only set forth his or her efforts in the disclosure statement; there is no ne
review land records.
Subsection 6: Information in disclosure statements is useful only if it can be checked against information. That is the purpose
this subsection: to allow the comparison of an official's business connections with a list of businesses that do business with tF
city.
Should failure to fiie a disclosure statement be a violation requiring a complaint to be filed, placing the burden on citizens or tl
ethics commission and requiring an investigation and hearing for a clear-cut violation? Or should the burden be on the persoi
disclosing to file (at least a request for a 30-day extension), requiring from the ethics commission only a notice and a reasone
length of time before a stated penalty is automatically due?
There have been cases, such as in Rhode Island, where a large number of officiais did not file disclosure statements, makinc
almost impossible for the ethics commission to take action against them all (it is my understanding that they chose to go aftei
governor first). A late fee and serious penalty for not filing would require officiais to take the requirement seriously. I would lik
know others' experiences with enforcement of annual disclosure.
104. Disclosure by Applicants.
To discuss this provision, click here.
1. When a person requests that the city, or a city official or employee*, take or refrain from taking any action (other than a
ministeriai acY") that may result in a financial benefit* to either any official or employee or to one of the other persons listed in
(1) of this code, the person requesting must disclose the name of any such person or persons, to the extent of his or her
knowledge at the time of the request.
2. If the request is made in writing, the disclosure must accompany the request. If the request is oral and made at the meetini
public body, the disclosure must be set forth in the public record of the body. If the request is oral and not made at the meetir
a public body, the disclosure must be set forth in writing and filed with the city clerk, who will send a copy to the Ethics
Commission.
Comment: An example of how this section works is that an applicant for a zoning variance is required to list the name of any
official or empioyee, or others listed in 100(1), who might benefit from the granting of the variance. Applicant disclosure provil
check on transactional and annual disclosure.
This section does not require that the applicant research which officials, if any, have an interest in the matter, but only require
that the applicant disclose the names of interested officials to the extent the applicant knows of the interest. Also, the section
imposes no burden on the applicant to update the disciosure if the applicant later learns that certain officials have an interest
the application.
00
of a
a of
44
105. Advisory Opinions.
To discuss advisory opinions, click here.
1. Upon the written request of any official or employee*, including former officials and employees whose position was terminat d
within three years as well as people who intend to soon become an official or employee, the Ethics Commission must render,
within ten days after the date of its next regular meeting, a written advisory opinion with respect to the interpretation or applica ion
of this code. Any other person or entity may similarly request an advisory opinion, but only with respect to whether his, her, or ts
own action might violate a provision of this code. If an earlier response is required, an informal verbal or e-mail opinion will be
provided by the Ethics Officer. For more information about advisory opinions, see Section 209 of this code.
2. Any person or entity may request informal advice from the Ethics Officer about any situation, inciuding hypothetical situatio ,
but such advice is not binding and there are no time requirements. With respect to the ASPA Ethics Code, only informal advic
may be requested.
Comment: For more information about advisory opinions, see 209, in the Administration part of this code. The Ethics
Commission's other duties are set forth in the Administration part of this code, which is of interest to most people only in extre e
situations. But all officials and employees, as well as many residents, will have occasion to take advantage ot the Ethics
Commission's or Ethics Officer's advice. And this is the Ethics Commission's most important responsibiiity. It is very important or
local government officials and employees, whenever they are uncertain as to whether they should proceed with a matter, to
immediately seek advice. This wili prevent unethical conduct from occurring due to a lack of knowledge or understanding, and iii
create a series of precedents to guide officials and employees in the future.
To avoid burdening the Ethics Commission with requests for formal advisory opinions, especially due to the urgency with whic
these opinions need to be provided to people faced with pressing decisions, this code permits a private citizen to request a for al
advisory opinion only as to the permissibility of his or her own conduct. Any official, on the other hand, may request an adviso
opinion with respect to his own, a subordinate's, a superior's, or even a colleague's conduct. But anyone can request informal
advice about any situation.
Usually, Ethics Officers work on a volunteer basis. They can be very helpful in providing quick advice before possible conflicts can
cause problems. Ethics Commissions rarely meet often enough to provide timely advice, and town, city, and county attorneys
rarely have the training, and rarely are unbiased enough, or seen as unbiased enough, to provide trustworthy advice. There is
nothing worse than having an official told by a government attorney that he or she can do (or not do) something which, wheth r a
violation of the ethics code or not, would undermine citizens' trust in their government officials. And yet this happens all the ti e. A
truly neutral ethics officer can prevent this from happening.
Cities might also consider allowing ordinary citizens to request advisory opinions when they believe there is a difficult
question, and the relevant official or employee will not discuss the problem.
106. Void Contracts.
To discuss penalties relating to contracts, click here.
Any contract, permit, or other transaction entered into by or with the city which results in or from a violation of any provision of
sections 100 or 101 of this code is void, without further action taken, unless ratified by the city's legislative body in an open
session held after applicable public notice. Such ratification does not affect the imposition of any penalties pursuant to this coc
any other provision of law.
107. Penaities for Violation af This Code.
To discuss penalties and other relief, click here.
To discuss negotiating with unions regarding penalties that apply to employees, click here.
1. Resignation, Compensatory Action, Apology.
or
Violation of any provision of this code should raise conscientious questions for the official or ernployee* concerned as to whet er
resignation, compensatory action, or a sincere apology is appropriate to promote the best interests of the city and to prevent t e
cost - in time, money, and emotion - of an investigation and hearings.
Comment: An official should not compound ignoring a conflict of interest by again putting his or her personal interest ahead o the
public interest by denying, obfuscating, or covering up what he or she knows to be true, or by, directly or indirectly, falsely
accusing others of misconduct. An apology that includes sincere remorse and a willingness to make reasonable reparations
restores respect and dignity, brings peace to personal and partisan rancor, assures the public that it is safe from further harm.
. Disciplinary Action.
Any person or entity that is found to have engaged in action or inaction that violates any provision of this code may be
reprimanded, suspended, or removed by the Ethics Commission, or the Ethics Commission may seek or impose any of the
sanctions or remedies listed below or in 215.
Comment: Many cities do not choose to allow ethics commissions to suspend or remove officials and employees. This can b a
special problem where the employee is covered by a collective bargaining agreement. Below is alternative language for such
cities:
Any person or entity that is found to have engaged in action or inaction that violates any provision of this code may be
reprimanded by the Ethics Commission. If the Ethics Commission recommends that the violator be suspended or removed ir m
office or employment, or be subject to any other sanction or remedy authorized by law or collective bargaining agreement not
listed in this section or in 215, the legislative body must choose, in an open session held after applicable public notice, wheth r
and to what extent to impose such sanctions.
4~
mC4w11119 utC lCy'~Iauve uuuy w mane e ueiermmarion on rne ernics commisslons recommenaauon is very important, becaus
otherwise a council majority could prevent the matter from being debated (or they could dispose of it secretly in executive
session).
An alternative approach is to make it more clear what sort of violation of this code can lead to suspension or removal, and to
require a supermajority, as in the following language.•
The Ethics Commission may suspend or remove a respondent from office, or employ other sanctions or remedies authorized y
law or collective bargaining agreement not listed in this section or in 215. To suspend or remove a respondent, the violation ust
have been committed either with (i) fraudulent intent to secure the unjust enrichment of the respondent or another person or (i )
malicious intent to inflict pecuniary or other substantial injury upon another person. A respondent can be suspended or remov d
only by the vote of four members of the Ethics Commission.
Two important limitations on an ethics commission suspending or removing employees must be taken inio account: (i) union r les
and procedures; and (ii) civil service rules and procedures. Since these vary greatly, each city musi determine how to take th se
into consideration without undermining the Ethics Commission's enforcement powers, especially with respect to elected and
appointed officials who are neither union members nor civil service employees (and most ethics proceedings involve such
officials). Protection of union and civil service prerogatives can be used a way to take enforcement power out of the Ethics
Commission's hands. Please share your experiences with union and civil service conflicis with ethics enforcement.
When politicians do give this power to an Ethics Commission, especially one not of their choice, it makes a strong commitme t to
a neutral, non-politicized ethical environment and sends a clear message to people in the city government and to those who ork
with it.
Please also share your experiences with ethics commissions that do have the power to suspend or remove employees, as w~ll as
with situafions where ihis power is reserved to the legislative body or other individuals or bodies.
3. C+vil Fine.
Any person or entity that violates any provision of this code may be subject to a civil fine of up to $2,000 for each violation,
payable to the city. A civil fine may be imposed in addition to any other penalty authorized by this code or by law, other than
forfeiture pursuant to subsection 5 of this section.
4. Oamages.
Any person or entity that violates any provision of this code is liable in damages to the city for any losses or increased costs
incurred by the city as a resuit of the violation. Such damages may be imposed in addition to any other penalty authorized by
code or by law, other than a civil forfeiture pursuant to subsection 5 of this section.
. Civil Forfeiture.
Any person or entity that intentionally or knowingly violates any provision of this code is subject to a civil forfeiture to the city o
sum equal to three times the value of any financial benefit* he, she, or it received as a resuit of the conduct that constituted th
violation. A civil forfeiture may be imposed in addition to any other penalty authorized by this code or by law, other than a civil
pursuant to subsection 3 or damages pursuant to subsection 4 of this section.
108. Debarment.
To discuss penalties relating to contracts, click here.
1. Any person or entity that intentionally or knowingly violates any provision of this code is prohibited from entering into any
contract, other than an employment contract, with the city for a period not to exceed three years.
2. Nothing in this section may be construed to prohibit any person or entity from receiving a service or benefit, or from using ;
facility, which is generally available to the public.
3. Under this section, a corporation, partnership, or other entity is not vicariously liable for the actions of an employee. A
corporation, partnership, or other entity is not debarred because of the actions of an employee unless the employee acted in
execution of company policy or custom. A store, region, division, or other unit of an entity is not debarred because of the acti
of an employee of that unit unless the employee acted at the direction, or with the actual knowledge or approval, of the mane
of the unit.
109. Injunctive Relief.
To discuss penalties and other relief, click here.
1. Any resident, official, or employee of the city may initiate an action or special proceeding, as appropriate, in a court of
appropriate jurisdiction for injunctive relief to enjoin any person or entity from violating this code or to compel any person or e ti
to comply with the provisions of this code. In lieu of, or in addition to, injunctive relief, the action or special proceeding, as
appropriate, may seek a declaratory judgment.
2. No action or special proceeding may be prosecuted or maintained pursuant to subsection 1 of this section, unless (a) the
plaintiff or petitioner has filed with the Ethics Commission a sworn complaint alleging the violation, (b) it is alleged in the comp a
or petition filed with the court that at least six months have elapsed since the filing of the complaint with the Ethics Commissio ,
and that the Ethics Commission has failed to issue a determination in the matter, and (c) the action or special proceeding is fil i
within ten months after the alleged violation occurred.
Comment: This section addresses the failure of the Ethics Commission to act on a matter before it. When the Ethics Commis
does act within the period prescribed by subsection 2, the remedy of the aggrieved party (the complainant or the alleged viola
lies in a proceeding to review the commission's determination (see 216). If the Ethics Commission files a determination in the
matter after the 109 suit has been filed, the matter should proceed as a review proceeding, provided that the plaintiff or petitio
is aggrieved by the Ethics Commission's determination.
46
110, Whistle-Blotver Protectian.
To discuss this section, click here.
1. Neither the city nor any person, including officials and empioyees*, may take or threaten to take, directly or indirectly, officia or
personal action, including but not limited to discharge, discipline, personal attack, harassment, intimidation, or change in job,
salary, or responsibilities, against any official, employee, or other person (or against any member of their family) because that
person, or a person acting on his or her behalf, (a) reports, verbally or in writing, or files a complaint with the Ethics Commissi n
regarding an alieged violation of this code, or (b) is requested by the Ethics Commission to participate in an investigation, hea ing,
or inquiry, or is involved in a court action relating either to the alleged violation or to evidence presented or given as part of an
Ethics Commission investigation or hearing. The provisions of this section are not applicable when the complainant, witness, r
reporter of a violation made accusations or other statements that were malicious and false. A violation of this section is a viola ion
of this code.
2. Anyone who aileges a violation of subsection 1 may bring a civil action for appropriate injunctive relief, or actual damages, i
both within ninety days after the occurrence of the alleged violation. A court may order reinstatement of the plaintiff to such a:
or the payment of back wages, full reinstatement of fringe benefits and seniority rights, actual damages, or any combination o
these remedies. A court may also award the plaintiff all or a portion of the costs of litigation, including reasonable attorney fee,
and witness fees. The initiation of such litigation is not a violation of the confidentiality provisions in 100(8) or 213(9).
Comment: Without whistle-blower protection, city employees - the people who best know what is going on in the city governn
- will be unlikely to come fonvard with reports of ethics code violations. It is difficult enough to betray the strong feelings of loy,
that exist in most workplaces, and almost impossible when speaking out endangers your job and pension. With whistle-blowe
protection, city officials will know their violations might be reported and, therefore, will be more likely to act consistent with the
code (that is, their personat interest in protecting themselves will be closer to the public interest in their acting fairly and
impartially).
111. Definitinns.
To discuss this section, click here.
To discuss whether some provisions should apply only to certain officials, click here.
Unless otherwise stated or unless the context otherwise requires, when used in this code:
1. To "appear"or "appear before" means to communicate in any form, including, without limitation, personally, through anothe
person, by letter, or by telephone. This definition also applies to the noun form, "appearance."
2. "COnsultant" means an independent contractor or professional person or entity engaged by the city or advising a city officia,
and in a position to influence a city decision or action, or have access to confidential information.
3. "Ciistamer or client" in 104(1)(e) means (a) any person or entity to which a person or entity has supplied goods or services
during the previous twenty-four months, having, in the aggregate, a value greater than $1,000, or (b) any person or entity to hich
an official or employee's' outside employer or business" has supplied goods or services during the previous twenty-four mont s,
having, in the aggregate, a value greater than $1,000, but only if the official or employee knows or has reason to know the ou side
employer or business supplied the goods or services.
4. "Domestic partner" is an adult, unrelated by blood, with whom an unmarried or separated officiel or employee* has an excl sive
committed relationship, maintains a mutual residence, and shares basic living expenses.
5. "Financial benefiY" includes any money, service, license, permit, contract, authorization, loan, travel, entertainment, hospita ity,
gratuity, or any promise of any of these, or anything else of value. This term does not include campaign contributions authoriz d
by law. A"financial interest" is a relationship to something such that a direct or indirect financial benefit has been, will be, or ight
be received as a result of it.
6. A"gift' is a financial benefii* received or given without equivalent compensation. However, a financial benefit* received or iver
on terms available to the general public is not a gift.
7. "Household" includes anyone whose primary residence is in the official or employee*'s home, including non-relatives* who re
not rent payers or servants.
II. An "interest in a contracY" is a relationship to a contract such that a direct or indirect financial or other material benefit* has
been, will be, or might be received as a result of that contract. The official or employee* does not need to be a party to the
contract to have an interest in it. Indirect benefit includes a benefit to the official's family or outside business or employer.
9. "Ministerial acY" means an action performed in a prescribed manner without the exercise of judgment or discretion as to th
propriety of the act. An example of a ministerial act is the granting of a marriage license by a city clerk.
10. "C}fficial or employee" means any official or employee of the city, whether paid or unpaid, and includes all members of an
office, board, body, advisory board, council, commission, agency, department, district, administration, division, bureau, com ittee
or subcommittee of the city. "Official or employee" does not include:
(a) A judge, justice, or official or employee of the court system;
(b) A volunteer fire fighter or civil defense volunteer, except a fire chief or assistant fire chief; or
(c) A member of an advisory board if, but only if, the advisory board has no authority to implement its recommendations or to ct
on behalf of the city or to restrict the authority of the city to act.
11. °Outside ernployer or business" includes:
(a) any substantial business activity other than service to the city:
(b) any entity, other than the city, of which the official or employee* is a member, official, director, or employee, and from whi~h he
or she receives compensation for services rendered or goods sold or produced;
47
kU) ai iy cnury IVl.4lCU III LI IC l:lly UI wnicn uue5 uusiness wnn [ne city, in wnicn tne omciai or empioyee° nas an ownersrnp mtei
except a public corporation in which the officiai or employee's ownership interest is the lesser of (i) stock valued at less than
$50,000 or (ii) five percent of the outstanding stock; and
(d) any entity to which the official or employee* owes, or by which the official or employee is owed, more than $10,000, either
the form of a note, a bond, a loan, or any other financial instrument.
For purposes of this definition, "compensation" does not include reimbursement for necessary expenses, including travel
expenses..
12"Personal benefiY' includes benefits other than those that are directly financially advantageous. These include financial
benefits* to relatives*, business associates, and others listed in 100(1 as well as non-financial benefits to these people and,
oneself, including such things as reputation and the success of one's career. A"personal interest" means a relationship to
something such that a personal benefit has been, will be, or might be obtained by certain action or inaction with respect to it.
13. "Reiative" means a spouse, child, step-child, brother, sister, parent or step-parent, or a person claimed as a dependent oi
oificial or employee's* latest individual state income tax return.
14. "Subordinate" means another official or employee* over whose activities an official or employee has direction, supervisior
control.
Comment: Subsection 3("customer or client"): An employee of a large corporation may not know many of the customers or
clients of his or her employer and should not be penalized for that understandable ignorance. For that reason, the "knows or h s
reason to know" language is included.
Subsection 6("gift"): A"financial transaction on terms not available to the general public" includes, for exampie, a reduced-
interest loan to a municipal official. The reduction in interest would constitute a gift.
Subsection 11 (c) ("outside employer or business"): It is sometimes said that stock ownership in a public company is not releva t to
an official's interests, because he or she owns a tiny percentage of the stock and therefore has no control over the entity. But he
success of the public company does have special meaning to someone who holds a large dollar amount of that company's st ck
(even if that amount is large only for the individual, not for the corporation) and, theretore, it does constitute an interest that co Id
get in the way of an officiai's ability to act impartially (as well as the perception of how the official would benefit from the comp ny's
success).
The amount of share holdings will not be disclosed, but since there is a minimum amount, it wili be clear that any disclosed sh re
holding is sizeable. Therefore, some cities may want a lower threshold amount, so that it is not clear whether a shareholding i
large or small.
Subsection 12 ("personal benefit"): Many ethics codes require the expenditure of funds even with respect to personal benefits But
this requirement allows officials to vote, say, on whether they should have to recuse themselves, when a committee member
raises the issue at a meeting. Non-financial interests, such as reputation, are very important to people and have an equally
powerful effect on their ability to make impartial decisions. I would like to hear about examples of personal benefits you feel s oula
be included as giving rise to a possible conflict of interest, and how you have seen such personal benefits dealt with when ihe
are and when they are not covered by ethics codes.
Subsection 13: Some cities follow the IMLA Model Code by defining "relatives," generally or in such instances as gift-giving, a
anyone within up to the fifth degree of consanguinity. I feel that this term is inappropriate to an ethics code because of its
unfamiliarity, its difficulty, and its common usage in law (determining incest). To be in the fifth degree of consanguinity, two
individual's first common ancestor must be no more than a total of five generations away. For example, if my grandfather (two
degrees) is your great-grandfather (three degrees), there are five degrees of consanguinity between us. In law, because
consanguinity is for the purpose of defining incest, it does not include relationship by marriage. However, relationship by marr ge
is relevant in government ethics.
Throughout this code there are stars next to defined words. If this usage is followed and the code is placed on a city's website
these stars should be turned into links to the Definitions section, so that the definitions can be easily consulted.
Part B: Administrative Provisions
201. C3uties af City Clerk.
The City Clerk must maintain on file for public inspection and, with respect to disclosure statements, index in alphabetical c
the last name of the relevant official, employee, candidate, or applicant the following documents:
(1) A copy of the code of ethics and amendments thereto;
(2) A statement that the city has established an Ethics Commission, and its composition;
(3) A copy of the form of annual statement of financial disclosure;
(4) A list of the names and offices, or positions, of all officials and employees required to file annual disclosure statements;
(5) Copies of all transactional, applicant, and annual disclosure statements filed pursuant to this code.
202 hfiaintenance af Disclosure Statements.
1. The City Clerk must transmit promptly to the Ethics Commission copies of each transactional and applicant disclosure
statement filed pursuant to sections 101, 103, and 104 of this code.
2. The Ethics Commission must index and maintain on file for at least seven years all disclosure statements filed with it F
to sections 101, 103, and 104 of this code..
203 Ettiics Commission: Establishment; Qualifications of Members; Appointment af Members; Term ot
To discuss the establishment and role of ethics commissions, click here.
1. There is hereby established an Ethics Commission consisting of five members, plus two alternate members. All members
alternate members must be residents of the city.
by
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4. rvu rnemuei ui u ie ccnics Uommission may oe, or nave oeen witnin ine tnree years prior to appointment, an otticiai or
employee* of the city; an officer in a political party; an active member of the campaign of a candidate for any office within the
Commission's jurisdiction; or a lobbyist. An Ethics Commission member or staff member may not make campaign contribution
nor participate in any way in the campaign of a candidate for any office within the commission's jurisdiction, or of an individual
currently within the commission's jurisdiction.
3. Of the regular membership of the Board, no more than two may be registered in the same political party, and at least one m st
be registered as unaffiliated. The alternate members may not be registered in the same political party.
4. Within sixty days after the effective date of this code, and no later than December 31 each year thereafter, the city's legislati e
body will appoint the members of the Ethics Commission from a list of nominees prepared by [five-to-seven community
organizations, such as the local branch of the League of Women Voters; see this City Ethics biog post to see how some local
governments do this.]
Comment: Subsection 1: Five is not a magic number for an eihics commission. In large cities, if there is a lot of activity, it wo d
be best to have a larger number of inembers, and then allow, say, five-member panels for proceedings, and three-member pa els
for advisory opinions. When there is little activiry, it is often difficult to gei a quorum at ethics commission meetings, so it is be t to
keep the number of inembers low. This is especially important since an ethics commission may only act by the majority vote o its
total membership, not just those members who attend a meeting.
Subsection 2: There are constitutional problems with excluding elected officials from ethics commissions, but it is a terrible ide to
have an elected or appointed official on a commission that is supposed to be independent and without its own conflicts of inte st.
It undermines the spirit of the ethics code.
The restriction on municipal officials and employees, and lobbyists and party officers, serving on ethics commissions seeks to
ensure that the board is as free as possible from pressure from other officials, co-workers and superiors alike.
Subsection 3: The restriction on the political make-up of the board aims to strengthen both the perception and the reality of a
board that is not partisan. Ethics commissions must not become political footballs, because this will undermine trust in them a d
cause people not to file complaints or seek advisory opinions, nor to have faith in their determinations. For the same reason, t is
code restricts the political activities of ethics commission members.
Subsection 4: The idea of having one or more nonpartisan civic organizations select a city's ethics commission is unusual, but
there are no better alternatives to preventing an ethics commission from being (and appearing) political or to ensuring that eit er
party cannot block a member of its party from being disciplined or from getting no more than a reprimand. Another alternative s to
require that each member be selected by unanimous vote of the legislative body, but this woutd still allow the parties to trade
votes and make the same selections the two party committees would have made (or in fact did make). An ethics commission
should be as nonpartisan, and without its own conflicts, as possible, and answerable to no one. Only a nonpartisan body can
ensure this, at least on a city level (that is, without having a regional or state commission handle city ethics matters; see the n xt
comment for more on this). In any event, instead of politicians (or even nonpartisan civic organizations) selecting only peopie hey
know, a vacancy on an ethics commission should be widely publicized, and citizens who are not politically involved should be
encouraged to apply.
Smaller municipalities may choose to form joint or regional ethics commissions. Since, in towns, most politically active reside s
have personal biases and relationships with those most likely to be brought before an ethics commission, a regional ethics
commission can provide a truly neutral, independent solution. The decisions of a regional ethics commission will demand mu
more respect and make people more certain that ethical matters are not being decided based on local loyaities. In addition, to ns
lack the resources to educate ethics commission members pursuant to 211, and they have too few matters brought before th m to
allow members to gain the necessary experience. Another alternative, which several states employ, is to have a state ethics
commission deal with municipal as well as state matters (the commission can be the same one, or a separate one that focuse on
municipal matters, but has access to the same staff expertise). I would like to hear people's feelings about regional and state
ethics commissions, as well as their experiences with them.
5. The term of office of Ethics Commission members is three years and runs ftom January 1 through December 31, except th t, of
the regular members first appointed, one member will serve until December 31 of the year in which the Board is established, o
regular members and one alternate member will serve until the second December 31, and two regular members and one alte nate
member will serve until the third December 31.
6. An Ethics Commission member wiil serve until his or her successor has been appointed, in the same manner as the origin I
appointments. Consecutive service on the Ethics Commission may not exceed two full terms, except that a one-term alternat
member may thereafter serve two terms as a regular member, and a two-term alternate member may thereafter serve one te m as
a regular member.
7. Members of the Ethics Commission will not receive compensation but will be reimbursed for reasonable expenses incurred in
the performance of their official duties.
8. The unexcused absence of any member from three consecutive meetings, unless the Ethics Commission has excused the
absence for good and sufficient reason, shall constitute a resignation.
Comment: Subsection 5: The terms of office of inembers shouid be staggered, to provide continuity in the work and philosop y of
the board. Municipalities may wish to increase or decrease the length of the term of office or establish a different year of servi e
than the calendar year. However, terms of office should be sufficiently long to ensure that the members acquire expertise, bu not
so long as to discourage people from serving on the commission. In addition, ethics commission members should not be allo ed
to become entrenched on the commission; the model law therefore contains a term limitation. However, interested, experienc d
members may return to the commission after a term off.
204. Ethics Commission: Vacancies.
To discuss the establishment and role of ethics commissions, click here.
When a vacancy occurs in the membership of the Ethics Commission, the vacancy will, within sixty days, be filled for the
unexpired portion of the term in the same manner as regular appointments. Any person appointed to fill a vacancy on the
Commission must meet the qualifications and limitations set forth in 203 of this code.
205. Ethics Commission: Removal of Members.
To discuss the establishment and role of ethics commissions, click here.
An Ethics Commission member may be removed from office by at least a three-fourths majority of the legislative body, after
written notice, including a clear statement of the grounds for removal, and opportunity for reply, at least thirty days before vc
on removal. The only grounds for removal are failure to meet the qualifications or limitations set forth in 203 of this code,
49
suusianwai neyiect or oury, gross misconauct m omce, inaowty to aischarge the powers or duties ot omce, and violation ot thfs
code.
Comment: The party in power cannot be allowed to change the membership of the ethics commission when a colleague co
before it. This does happen, and it can be very damaging to a city's trust in its government. It is preferable that it be made ve
difficult to get rid of ethics commission members. Please share experiences with the removal or attempted removal of ethics
commission members.
206. Ethics Commission: Meetings.
To discuss the establishment and role of ethics commissions, click here.
At its first meeting each calendar year, the Ethics Commission will elect a chair and a vice-chair from among its regular mem
alternate members may vote for chair and vice-chair. A majority of the regular members is required for the Commission to tal
any action. The chair or a majority of the regular members may call a meeting of the Commission.
207. Ethics Commission: Jurisdiction, Powers, and Duties.
To discuss this and the following sections on ethics commission powers and duties, click here.
1. The Ethics Commission may only act with respect to current and former officials and ernployees*, consuliants*, applicants,
candidates, and persons and entities that do business with the city, give gifts* to officials and employees* or their relatives*, o
otherwise covered by the provisions of this code.
2. The termination of an official's or employee's term of office or employment with the city does not affect the jurisdiction of thE
Ethics Commission with respect to the requirements imposed on him or her by this code.
Comment: Jurisdiction over former officials and employees, as well as over those who do business with the city or give gifts,
be controversial. The extent of jurisdiction allowed by courts (when they have had to decide this issue) varies among states, t
often it is unclear, and many lawyers, especially those involved politically, will automatically say that there is no such jurisdictil
Nothing makes government officials and employees feel more secure than knowing all they have to do is quit in order to prevE
an ethics or corruption matter from being investigated. Therefore, it is important to make it clear in advance to officials and
employees that quitting is not an antidote to ethics violations. I would like to hear about the law in various states, and experier
people have had or know about where jurisdiction has been successfully or unsuccessfully challenged, and the effects of sucl
challenges on ethics systems.
3. Unless otherwise stated, the Ethics Commission must send all official correspondence by registered or certified mail, or by
personal service.
4. Unless otherwise stated, all Ethics Commission decisions or determinations must be made by the affirmative vote of three
sitting members.
5. The Ethics Commission has the following powers and duties:
(a) To prescribe and promulgate rules and regulations governing its own internal organization and procedures in a manner
consistent with this code;
(b) To appoint hearing officials, an executive director, if necessary, and such other staff as are necessary to carry out its dutie
under this code, and to delegate authority to the executive director, if any, to act in the name of the Commission between
meetings of the Commission, provided that the delegation is in writing and the specific powers to be delegated are enumerate
and further provided that the Commission may not delegate the power to render a formal advisory opinion, determine a viotati
impose a penalty, seek any remedy not otherwise delegated in this code to the legislative body, or refer a matter to a prosecu
An executive director must meet the qualifications of an Ethics Commission member as specified in 203 of this code;
(c) To prepare and provide forms for complaints and for annual, applicant, and transactional disclosure statements, pursuant
sectioi7 208;
(d) To review, index, and maintain on file disclosure statements filed with the Commission, pursuant to sections 202 and 208
this code;
(e) To render, index, and maintain on file advisory opinions pursuant to section 209;
(fl To review, index, maintain on file, and dispose of sworn complaints, and to make notifications and conduct investigations
pursuant to section 213;
(g) To conduct hearings, apply and recommend disciplinary action, assess penalties, make referrals, and initiate appropriate
actions and proceedings pursuant to sections 214 and 215>ia>;
(h) To dispose of waiver requests pursuant to section 210;
(i) To provide training and education to officials, employees, and those doing business with the city pursuant to section 211;
(j) To prepare an annual report and recommend changes to this code pursuant to sectian 212;
(k) To provide for public inspection of certain records pursuant to section 217; and
(I) To make this code and explanations of it available for reproduction and distribution pursuant to sectian 219.
Comment: Subsection 4: "Sitting members" means those members, regular or alternate, who are sitting to make a determine
about the relevant matter. This could mean a panel made up of inembers, or simply the members who hear a case (with one
more alternates sitting for regular members) and who can, therefore, be the only ones able to decide it.
Subsection 5: This model code is intended to minimize the administrative burden on municipalities. For that reason, only size
cities will find it necessary to hire an executive director and staff for their ethics commissions. In such instances, the code shc
speciiy the powers and duties of the executive director, for example, carrying out investigations or overseeing ethics officers.
other municipalities can rely upon other municipal staff members for the occasional secretarial services or legal advice the
enforcement of the law will require.
However, care must be taken ihat any municipal staff used by ihe ethics commission maintain the confidentiality of commissi
actions and remain free from conflicis of interesi and political and other pressures from superiors and peers. In particular, wh
the city attorney is a polrtical appointee or is otherwise beholden to the chief elective otficial or a majority of the governing bo,
1 1 50
uie wrnmissiun musr nave rne aurnonry, wnen necessary, to oDtain independent counsei. for tnai reason, some muniapalitie
may wish to require, in their ethics code, funding for such counsel.
This raises the general issue of funding. One of the most popular ways to prevent an ethics commission from doing too good job
investigating alleged violations of the ethics code is to restrict its budget. With a small budget, it will be forced to depend on th
city attorney and wiil have to cut corners and delay investigations. If it is possible, a city seeking to improve its ethical environ ent
should set a healthy budget for the next few years, with minimum increases tied to inflation.
How do people feel about ex parte communications? Generally, they should not be allowed, but since ethics commissions do ot
meet very ofren (unlike courts), ofren have no staff, and have an interest in resolving disputes quickly and through settlement,
restricting ex parle communications can make the process slower and more difficult for everyone. What approaches have wor ed
or been problematic?
208. Lists, Complaint Forms, and Disclosure Statements.
To discuss this and the previous sections on ethics commission powers and duties, click here.
1. The Ethics Commission will annually review the list of officials and empioyees required to file annual disclosure statemenl
determine whether the lists are complete and accurate. Within ninety days after it has been formed, and by February 1 each
thereafter, the Ethics Commission must (a) cause to be filed with the City Clerk a list of the names and offices, or positions,
officials and employees* and others required to file annual disclosure statements pursuant to 103 of this code; and (b) notify
such persons of their obligation to file an annual disclosure statement.
2. The Ethics Commission will prepare forms for complaints and for annual, applicant, and transactional disclosure statemer
and will make these forms available at the City Clerk's office and on the city's website, for easy downloading.
3. By June 15 of each year, the Ethics Commission must review all annual disclosure statements filed with it to determine w
any person required to file such a statement has failed to file it, has filed a deficient statement, or has filed a statement that
reveals a possible or potential violation of this code.
4. The Ethics Commission must review all transactional disclosure statements filed with it.
5. If the Commission determines that an annual or transactional disclosure statement is deficient or reveais a possibie or po
violation of this code, the Commission will notify the person in writing of the deficiency or possible or potential violation, and
penalties for failure to comply with this code.
209. Advisary Opinions.
To discuss advisory opinions, click here.
1. Upon the written request of any officiai or erripioyee* - including former officials and employees" who served or were emplo ec
within the prior three years, and also inciuding those who intend to soon become an official or employee - or candidate,
consultant, or person or entity doing business with the city or intending to soon do business with the city, the Ethics Commissi n
must render, within ten days after the date of its next regular meeting, a written advisory opinion with respect to the interpreta or
or application of this Code. Any other person or entity may similarly request an advisory opinion, but oniy with respect to whet er
his, her, or its own action might violate a provision of this code. If an official requires an earlier response, an informal verbal o e-
mail opinion will be provided by the Ethics Officer.
2. The Ethics Commission will designate one of its members or alternate members, or another individual selected by the vote o
at least four sitting members, to be the Ethics Officer, for the purpose of quickly responding to questions regarding the
requirements of this Code. The Ethics Officer's phone number and e-mail address will be made availabie on the Commission'
website. The Ethics Officer's informal opinions may be relied upon, in good faith, but will not be binding upon the Commission or
upon the person making the request. With respect to the ASPA Ethics Code, only informal advice may be requested.
3. An advisory opinion rendered by the Ethics Commission, until and unless amended or revoked, is binding upon the Ethics
Commission in any subsequent proceeding concerning the person or entity that requested the opinion and acted in good faith
unless he, she, or it omitted or misstated a material fact in requesting the advisory opinion. The advisory opinion may also be
relied upon by the person or entity, and may be introduced and used as a defense in any civil action brought by the Ethics
Commission or the city.
4. If the Ethics Commission has reason to believe that an advisory opinion has not been complied with, it will take appropriat
action to ensure compliance, including but not limited to the filing of a complaint pursuant to 213(3).
5. Advisory opinions and requests for advisory opinions (with names and other necessary details omitted to protect anonymit ,
unless the requesting party states otherwise) will be indexed and maintained on file by the Ethics Commission and will also b
available on the city website. Relevant officials, employees, and businesses should be notified about advisory opinions that igF
affect their conduct.
6. Any person aggrieved by an advisory opinion of the Ethics Commission may seek judicial review and relief
Comment: This is the Ethics Commission's most important responsibility. It is very important for local government officials a
employees, whenever they are uncertain as to whether they should proceed with a matter, to immediately seek advice. This ill
prevent unethical conduct from occurring due to a lack of knowledge or understanding, and will create a series of precedents to
guide officials and employees in the future.
To avoid burdening the Ethics Commission with requests for formal advisory opinions, especially due to the urgency with whi h
these opinions need to be provided to people faced with pressing decisions, ihis code permits a private citizen to request a f rmal
advisory opinion only as to the permissibiliry of his or her own conduct. Any otficial, on the other hand, may request an advis ry
opinion wifh respect to his own, a subordinate's, a superior's, or even a colleague's conduct. But anyone can request informa
advice about any situation.
Usually, Ethics Officers work on a volunteer basis. They can be very helpful in providing quick advice before possible conflict can
cause problems. Ethics Commissions rarely meet offen enough to provide timely advice, and town, city, and county attorney
rarely have the training, and rarely are unbiased enough, or seen as unbiased enough, to provide trusfworthy advice. There i
nothing worse than having an official told by a government attorney that he or she can do (or not do) something which, whet er a
violation of the efhics code or not, would undermine citizens' irust in their government officials. And yet this happens all the fi e. A
truly neutral ethics officer can prevent this from happening.
Cities might also consider allowing ordinary citizens to request advisory oprnions when they believe there is a difficult conflic
question, and ihe relevant oHicial or employee will noi discuss the problem.
The reference to civil actions in subsection 3 refers to actions for damages, civil forfeiture, debarment, or injunctive relief.
51
0UU~CLIuvl 1 0. nCla, wue-S nuyrn wdrn iu reierence speanc pnvacy iaws or laws regaralng puouc recoros, or rerer more
to such laws.
210. tNaiVers
To discuss waivers and exclusions, click here.
1. Upon written application and upon a showing of compelling need by the applicant, at an open session after public notice, th
Ethics Commission may in exceptional circumstances grant the applicant a waiver of subsections 1-10, 1-11, 13-19, 21 of 10C
101(1)lal, 106, or 108 of this code.
2. Waivers must be in writing and must state the grounds upon which they are granted. Within ten days after granting a waive
the Ethics Commission must publish a notice setting forth the name of the person or entity requesting the waiver and a gener<
description of the nature of the waiver in the official newspaper designated by the city for legal notices. All waiver applications
decisions, and other records and proceedings relating to waivers will be indexed and maintained on file by the Ethics Commis
Comment: A provision for waivers of ethics provisions is dangerous because it opens the door fo the wholesale gutting of an
ethics code, encourages political pressure on ethics commissions by individuals and groups wiihin the community, and leads
charges of partiality, all of which undercut the perception of the ethics commission as an impartial body of high integriry. For tl
reasons, many municipalities may wish to forego a provision for waivers. Other municipalities, concerned about the need to
remedy unnecessary hardship thai ethics provisions may impose upon an individual in a particular instance, will wish to run tl
risks.
To minimize the risks, this section sets a high standard for granting a waiver ("compelling need" and "exceptional circumstanc
resiricts waivers to certain specified provisions, and requires that the waiver be published. Moreover, the meeting of the ethic:
commission at which the waiver is considered must be held in open session afrer public notice.
Some cities may want to list criteria for providing waivers. For example, here are the criteria that Baltimore considers sufficien
(one of either (1)-(4) pius (5)):
(1) the action would constitute an unreasonable invasion of privacy;
(2) compliance would constitute a hardship;
(3) the nature of the activities of the person, agency, board, or commission does not require compliance;
(4) compliance would significantly reduce the availability of qualified people for public service;
(5) the particular exemption would not be contrary to the purposes of this article.
Some cities may want to list possible reasons for waivers as a guide for both officials and the ethics commission. For examplo
here are Denver's sample waivers for nepotism:
(1) The relative who was proposed to be hired was certified through a competitive process conducted pursuant to law, and thi
officer, official, or employee who would make the appointment did not influence or affect the certification.
(2) The officer, official, or employee who would officially make the appointment is acting ministerially and did not select the rel
or attempt to influence the person who did.
(3) The relative who would be in the line of supervision was already working in the agency before the officer, official, or emplo
came into the line of supervision, and the officer, official, or employee can and will abstain from participating in any personnel
actions involving the relative.
And then ihere are exemptions. Some codes include a number of exemptions, providing an alternative list of provisions ihat s
what is acceptable, as opposed to what constitutes a violation. These exemptions have been omitted from this model code,
because I feel they are self-evident and because, although they are self-evident, they can be used as defenses by responder
who can say they misconstrued their conduct as falling within one of ihe exemptions. For example, as I said above, the stana
of interference wiih discharge of duties is too ambiguous a criterion; when it is applied in the negative sense (as in (b) below)
ihat there is no conflict of interest where there is no such interference - it is easy to argue that there was no such interference
Here is what the IMLA Model Code lisis as exemptions:
(a) No provision of this Ordinance shall be construed to prohibit or restrict any City employee from negotiating, entering into o
enforcing a collective bargaining agreement between the City and a labor union to which the employee belongs pursuant to s
or federal law. No public servant shall be deemed to have a conflict of interest due to any lawful action taken pursuant to a
collective bargaining agreement. The mere fact that public servants have entered into a collective bargaining agreement,
however, shatl not exempt them from any provision of this Ordinance unless the City is barred by the collective bargaining
agreement from adopting the provision in question.
(b) This Ordinance does not prevent any public servant from accepting other employment or following any pursuit which in nc
interferes with the full and faithful discharge of his or her public duties, provided that the public servant complies with all appli~
City requirements, including any requirements imposed by this Ordinance.
(c) No public servant shall be deemed to have a confiict of interest by virtue of carrying out any contract pursuant to which th(
public servant directly or indirectly received income or benefits in the form of compensation for the performance of official dut
(d) A former public servant is not prohibited from entering into a contract to represent the City in any matter.
(e) No public servant shall be deemed to have a conflict of interest by virtue of sharing, directly or indirectly, in the benefit of
lawful City action when the benefit to the public servant is substantially the same as the benefit to the public at large or to a
segment of the pubiic to whom the benefit is provided in a nondiscriminatory manner.
(fl This Ordinance does not prohibit any public servant from taking any action to
approve the lawful payment of salaries, employee benefits, reimbursements of actual and necessary expenses, or other law
payments which are authorized in accordance with City policies.
(g) This Ordinance does not prohibit public servants from taking any officiai action properly within the scope of their duties H
respect to any proposal to enact or modify law or public policy.
(h) This Ordinance does not prohibit an elected official from raising campaign contributions in any manner which is otherwis
permitted by law.
(i) This Ordinance does not prohibit communication between an individual or organization and a candidate regarding the
candidate's views, record or plans for future action regarding an issue or measure in an attempt to determine a candidate's
5fl.-.
VIcwN~~~ ll.a Ul Iiuw u ie caiwwaiC Niaiiti w aa ui tne wiu[tl, ir sucn communicauon resurcs in an enaorsement ot tne canaiaate, <
decision not to endorse the candidate, or a contribution or expenditure required to be recorded or reported under a state statul
(j) Actions which might otherwise be alleged to constitute a conflict of interest shall be deemed to comply with this Ordinance ~
not to be a conflict of interest if:
(1) before acting, the public servant requested and received a written opinion from the City Attorney or a formal ethics opinion
confidential advisory opinion from theBoard in accordance with the procedures established in this Ordinance; and
(2) the material facts, as stated in the request for an opinion, are true and complete; and
(3) the actions taken were consistent with the opinion.
211. Training and Education.
To discuss this section, click here.
The Ethics Commission (1) will, within one year after its passage, make this code, and explanations of its provisions (includinc
information on how to fill out all forms and statements), available (including, but not limited to, on the city website) to all officia
and employees, candidates and consultants*, and to municipal residents and to all persons doing business or interested in do
business with the city, and (2) will develop educational materials and a required educational program for the officials and
employees of the city, and those who do business with the city, regarding the provisions of this code. The educational prograr
must begin within eighteen months after this code goes into effect. In addition, the Ethics Commission will hold an annual
workshop for new and old officials and employees to discuss this code, its values and goals, its enforcement, and the ways in
which it has affected their work and the working of the city government.
212 Annual Reports; Raview of Ethics Laws.
To discuss this section, click here.
1. The Ethics Commission must prepare and submit an annual report to the legislative body, summarizing the activities, decisi
and advisory opinions of the Commission. The report may also recommend changes to the text or administration of this code.
report must be submitted no later than October 31 of each year, covering to the year ended August 31, and must be filed with f
City Clerk and made available on the city website.
2. The Ethics Commission will periodically (no less than every five years) review this code, the enforcement of the code, and t l
Commission's rules, regulations, and administrative procedures to determine whether they promote integrity, public confidenc
and participation in city government, and whether they set forth clear and enforceable, common-sense standards of conduct. 1
at least one public hearing, it may recommend to the legislative body amendments to this code.
213. Filing a Complaint; Investigations.
To discuss this section, click here.
1. Upon receipt of a sworn complaint on a form prepared by the Ethics Commission pursuant to 248(2), which any person or ntity
may file, the Ethics Commission will first determine if it, in fact, alleges an action or inaction that, if the allegations are true, mi ht
constitute a violation of this code, and that at least one person or entity accused of a violation is covered by this code. If the E hics
Commission determines that no such action or inaction has been alleged or that no one accused is covered by this code, the it
will dismiss the complaint with notice to the complainant. Similarly, if the Ethics Commission determines that an alleged violati n is
so minor that it is not worthy of investigation, then it will dismiss the complaint with notice to the complainant. The Ethics
Commission must make this determination within thirty days of receipt of a sworn complaint.
Comment: Sworn complaints are the norm, and some ethics codes contain penalties for those who make knowingly false
accusations in their complaints. But as is discussed above in the comments to 200(18), there is an argument for the allowanc of
complaints made via a hotline, even for anonymous complaints, so long as they are investigated by the ethics commission an
then brought in [he form of an ethics commission complaint, pursuant to subsection 3 below. Even with whistle-blower proteci on,
city employees - the people who know best what is happening in the city - are afraid to come forward or get involved in
controversial, protracted proceedings. Officials often depend on this reluctance when they aci unethically. Allowing hotline tip
does not require changing this subsection, because the final complaint would be filed by ihe ethics commission.
Most ethics codes limit complaints to individuals, but ihis model code allows entities fo file as well. This is especially intended to
allow civic organizations and citizens groups to file complaints, because there are many instances where an individual's filing
leads to slap suits and other forms of harassmenf from wealthy respondents. The ihreat of suit is one of the most serious
obstacles to the workings of an ethics system.
For more about minor or de minimis violations, see the City Ethics b/og posi on this topic.
2. A complaint must be filed within three years after the alleged violation occurred. Complaints may be filed against afficials a d
employees* who no longer hold office or are no longer employed.
3. The Ethics Commission may, on it own initiative, determine that a violation of this code may exist and prepare a complaint f its
own. The Ethics Commission may also amend a complaint that has been filed with it by adding further allegations, by deletin
allegations that would not constitute a violation of this code, or by deleting allegations against persons or entities not covered y
this code.
4. The Ethics Commission must send notification of the accepted complaint, as amended, to the respondent against whom th
complaint was filed, not later than seven days after making the determination in subsection 1 or the preparation of a complain
pursuant to subsection 3. A copy of the complaint, and of any amendments, must accompany such notice. The Ethics
Commission must also send notification to the complainant in writing of its receipt and acceptance of the complaint, and of an
amendments. Here and elsewhere, "complainanY" and "respondenY" might consist of more than one person or entity.
5. Settlement Agreements a. At any time after a complaint has been filed, the Ethics Commission may seek and enter into a
settlement agreement with the respondent. The settlement agreement will, to the extent relevant, include the nature of the
complaint, findings of fact, conclusions of law, the Commission's reasons for entering into the agreement, an admission of
violation by the respondent, a promise by respondent not to do certain actions, the imposition of penalties permitted by this c de,
remedial action to be taken, oral or written statements to be made, and a waiver of the right to a hearing and to appeal. b. In
determining whether a matter is appropriate for settlement, the Ethics Commission should consider the following factors, as ell
as other factors it considers relevant: (i) the severity of the alleged conduct; (ii) the respondenYs apparent level of knowledge nd
willfulness regarding the alleged conduct; (iii) whether the alleged conduct appears to be an isolated event or part of a patter of
conduct; (iv) whether the alleged conduct appears to indicate violations of criminal laws; (v) the complexity of issues or evide ce,
and the likely scope of an investigation and hearings; (vi) the involvement of other agencies in the investigation of the
respondenYs conduct; (vii) the existence of Ethics Commission precedent concerning the alleged conduct; (viii) the age of th
53
iacia auaycu u i u ic wniNiau ii, k1X) Lfle fCSUUfC65 dfl(] p(IOfILBS OT If1B tif11CS uOfllflllSSlOf1; ana ~x) wne[ner tne responaent seit-
reported the alleged conduct or sought an advisory opinion regarding it. c. Any settlement agreement approved by at least thr e
members of the Ethics Commission will be a public record. However, all meetings held and documents relating to the settlem nt
negotiations will be kept confidential, unless the parties agree otherwise. d. If a settlement agreement is breached by the
respondent, the Ethics Commission may rescind the agreement and reinstitute the proceeding. However, no information obtai ed
from the respondent in reaching the settlement, which is not otherwise discoverable, may be used in the proceeding.
Comment: Most city and town ethics codes do not explicitly deal with settlement agreements, but most siate ethics codes do. The
above language is based on that of several state ethics codes and rules, especially those of Ohio and Georgia. Settlements a e
especially important because ethics commissions tend to have limited resources. In most cases, ihere is no need for lengthy
investigations and hearings. And since the principle goal of ethics enforcement (as opposed to the criminal process) is to pro de
guidance, a public setflement agreemenf that includes a reasonable penalty is more important than an expensive proceeding hat
may or may not produce a more severe penalry. In fact, some states (and at least one city) make settlement the default or
preferred approach. Arkansas' code requires a written Offer of Settlement when probable cause is found. Texas's code requir s
that, upon a determination that there is credible evidence, the commission "resolve and settle the complaint or motion, to the
extent possible. " Los Angeles delays public announcement of a finding of probable cause so that a settlement can be reache .
Oregon's Administrative Rules "encourages the settlement of a case,"and Ohio's extensive settlement rules shows a propen ry
for settlement. But most codes and rules do little more than mention the possibility of settlement, providing little guidance.
Following are a few different approaches or considerations that 1 have found. Rhode Island explicitly refers to an informal
conference between the executive director and the respondent to negotiate a settlement, as well as to a hearing of the
commission to review ihe executive director's seKlement (in executive session). Alabama includes the Attorney General or Di trict
Attorney in any settlement where they are involved, limiting settlement to `minor violations. " Ohio requires consultation with th
complainants, and the commission may require the complainant to file an affidavit setting forth the allegations he or she want the
commission to consider in settlement negotiations (and respondent is permitted to respond with an affidavit). Massachusetts
provides three alternatives to a settlement agreement: (i) a compliance letter, which warns that fufure violations may be pursu d
through a public proceeding in cases where the violation does not involve "willful misconduct, significant economic advantage ihe
misuse of influence or confidential information, significant economic loss to the public, or the potential for serious impact on th
public confidence in its officials"; (ii) a public educafional letter, which reviews the alleged violations for preventative and
educational purposes, but assesses no civil penalry; and (iii) a public enforcement letter, where the respondent does not adm to
a violation. Georgia similarly distinguishes beiween a settlemeni where the respondent admits or does not admit to a violation•
penalties can be imposed only in the former case.
6. If a sworn complaint is accepted or prepared pursuant to subsections 1 or 3, the Ethics Commission must conduct an
investigation. From this point on, the complainant may not withdraw his or her complaint, although he or she may request that the
Ethics Commission either make a finding of no probable cause or no viofation, or suggest a settlement with the respondent. I
conducting such an investigation, the Ethics Commission may administer oaths or affirmations, subpoena witnesses, compel heir
attendance, and require the production of any books or records it deems relevant and material. The Police Department and al city
agencies, bodies, officials, and employees are required to respond fully and truthfully to ail enquiries and cooperate with ali
requests of the Ethics Commission or its agents relating to an investigation. It is a violation of this code for any official or
employee* to deny access to information requested by the Ethics Commission in the course of an investigation or a public
hearing, except to the extent that such denial is required by federal, state, or local law.
Comment: The reason complainants are not permitted to withdraw their complaints is to prevent respondents from pressurin
them to do so. Once a possible violation has been brought to the Eihics Commission's attention, it is not a proceeding of
complainant against respondent, but an ethics issue for the city to determine.
Some cities mighi want to go beyond settlement at the complainant's suggestion to allowing the respondent a chance to admi and
remedy violations of the code, either by providing a short period (up to two weeks) before the investigation begins, or 6y allo ng
remedy during the invesiigation period itself. The Commission must determine whether any actions truly remedy the situation
sufficiently that not even a reprimand is in order. In the alternative, a city might wani to allow the Commission to enter into
settlement agreements with respondents, allowing for, say, a reprimand in return for remedying a violation, for example, by
returning money, resigning from a board, making a formal apology, or changing the terms of a contract. lt should be recogniz d,
however, that in many cases, it is too late for a remedy, because action has been taken thai cannot be undone.
Please share your experiences with settlements and various sorts of reparations in municipal ethics cases, and what you thin of
alternative approaches and provisions.
The requirement of cooperation may also be placed among the ethics provisions, because cooperation is an ethical requirem nt,
that is, another way in which government officials should put the public interest (investigating ethics violations) ahead of their
personal interests (whatever they may be ihat might hinder the investigation). lt should appear or be referenced here, as well, as a
signal to the Commission and others ihat such cooperation may be expected.
7. The goal of the investigation is to determine whether there is probable cause to believe that a violation of this code has
occurred. "Probable cause" means that there are reasonable grounds that a violation has occurred.
Comment: "Preponderance of the evidence" is how this Model Code originally defined "probable cause," but this is the highe t
burden associated with a finding of probable cause, so it has been lowered. The traditional, criminal law probable cause invol es
a"fair probability" of criminal activity, which is much less than a preponderance of the evidence. As discussed in a City Ethics blag
post, many jurisdictions don't even define "probable cause." I think it's very important to define it. "Reasonable grounds," like
"sufficient evidence," means that there is reason to believe there was a violation, but before a hearing and full investigation, t ere
is not evidence sufficient to make it more likely than not that a violation occurred.
8. The respondent may file with the Ethics Commission a response to the complaint within thirty days after his or her receipt the
complaint. The response, if any, must be sent to the complainant by the Ethics Commission within five days after its filing, an ,
within fifteen days after receipt, the complainant may file with the Ethics Commission a response to the respondent's respons ,
which the Ethics Commission must send to the respondent within five days after its filing.
9. During the investigation period, the Ethics Commission may amend a complaint to include other violations which it reason ly
suspects to have occurred. It must send a copy of any such amendment to the respondent and complainant within seven day
after the amendment has been made.
10. The investigation will be confidential unless the respondent requests that it be public or unless the respondent makes pub ic
the fact of or any information concerning the proceeding. The respondent has the right to appear and be heard, and the
complainant has the right to attend any such hearing and be heard.
Comment: Confidentiality during an investigation is important to protect innocent respondents, as well as to depoliticize the
process. Complaints are sometimes filed for the express purpose of embarrassing, harassing, or taking revenge on public off ials,
often during an election season. No one can stop people from making public accusations, but sadly, when accusations beco e
official proceedings, they are taken more seriously by the press as well as by city residents. It is important that the proceedin s
themselves remain secret until a finding of probable cause has been made, and that an ethics commission be clear that even
such a finding is far from an actual finding of a violation. It should be emphasized that confidentiality here refers solely to the
5 4$
Nruceewiiys uiernservea, incwamy ineir existence, not to tne unaerrying accusatwns. H resiaent can ten tne woria inat an ome ai is
benefitting from a city contract (whether or not this is true; defamation laws deal with false accusations), but not that the ethics
commission is investigating a complaint that makes this accusation.
11. If the Ethics Commission determines that there is no probable cause to believe that a violation of this code occurred, it will
dismiss the complaint and send notification of this dismissal to the complainant and respondent. tf it determines that there is
probable cause, it will send notification of this finding to the complainant and respondent. In its letter of dismissal or notificatio of
finding, which must be sent within five days after the vote on probable cause, the Ethics Commission must set forth a brief
summary of the facts and the reasons for dismissal or a finding of probable cause.
12. Nothing in this section may be construed to permit the Ethics Commission to conduct an investigation of itself or of any of s
members or staff. If the Ethics Commission receives a complaint alleging that the Commission or any of its members or staff as
violated any provision of this code, or any other law, the Commission must promptly transmit to the legislative body a copy of e
complaint.
13. If a complaint is made under this section with the knowledge that it is without foundation in fact, the respondent has a cau e of
action against the complainant for double the amount of damages caused by the complaint. If the respondent prevails in such n
action, the court may award the respondent the costs of the action and reasonable attorney's fees.
Comment: An alternative approach to allowing a suit for double damages is to have the city directty protect a wronged
respondent. This would be advantageous to the system only if it were limited to complaints that are found to be without groun s,
that is, frivolous or without any basis in fact. Any reimbursement beyond this becomes both expensive and questionable. I wo Id
like to hear from people who have had good and bad experiences with such reimbursement rules. Here is language for that
approach:
14. Legal Fees: The city will pay reasonable attorney's fees, up to a limit of $ with respect to an Ethics Commission
proceeding, not including a request for an advisory opinion, if the Ethics Commission finds that a complaint was filed with the
knowledge that it is without foundation in fact.
Comment: This provision used to allow attorney's fees if the respondent is found not to have violated the ethics code (as man
codes allow), but many reasonable complaints do noi lead to findings of violations for many reasons, including settlements,
technicalities, quorum problems, and even ihreats of lawsuits against the commission or its members. Using the aciual findin of a
violation as the standard forces the local government to pay legal fees for officials who have violated an ethics code.
214. Rubfic Hearing Process.
To discuss this section, click here.
To discuss open vs. confidential hearings (dealt with further in section 217), click here.
1. After a finding of probable cause, the Ethics Commission must hold one or more public hearings, and the first public hearin
must commence within thirty days after the finding of probable cause. The goal of these public hearings is to determine wheth r i
not a violation of the Code of Ethics has occurred. The hearings will be held with reasonable promptness, with the last hearin to
be held not more than one-hundred-and-eighty days after the finding of probable cause.
2. Any person who is, in the opinion of the Ethics Commission, adversely affected by comments made during a hearing, may
testify in response at a hearing, directly or through a representative.
3. The Ethics Commission may refer the matter to an authority or person or body authorized by law to impose disciplinary acti n
pursuant to applicable law or collective bargaining agreement or, if it determines there are possible criminal violations, to the
appropriate prosecutor.
4. Extension of time.
Under extraordinary circumstances, extensions of time to any of the time limitations specified in this section may be granted
Ethics Commission upon a vote of four sitting members. However, in no event may the total modified time period, i.e., the or
time period plus the extension(s), exceed double the time period prescribed by this code.
a. The Ethics Commission must give written notice of any extension(s) of time to the respondent and the complainant.
b. Exceptions.
(1) No extensions may be given for time periods required for notification.
(2) No extensions may be given for the time limitation for ruling on actions, untess otherwise specified in this code.
5. Rules and Procedure for Public Hearings.
a. Public hearings will be conducted under the Ethics Commission's rules and regulations, subject to any applicable provisio
law and collective bargaining agreements. The rules and regulations will include the foliowing: oral evidence will be taken ur
oath; documentary evidence may be received in the form of copies or excerpts, if the original is not readily available and, up
request, parties and the Ethics Commission will be given the opportunity to compare the copy to the original; the state's
administrative rules of evidence, rather than strict rules of judicial evidence, will be followed, to allow a liberal introduction of
testimony and documentary evidence; and the complainant and respondent have the right:
(1) To be represented by counsel.
(2) To present oral or written documentary evidence which is not irrelevant, immaterial, or unduly repetitious.
(3) To examine and cross-examine witnesses required for a full and true disclosure of the facts.
b. The Ethics Commission may subpoena, and its members may question verbally or in writing, witnesses to testify and may
compel production of documents and other effects as evidence, and failure to obey such subpoena shall constitute a
misdemeanor.
c. At all hearings relating to a complaint, a couri stenographer will record the proceedings.
d. Upon the request of either the complainant, the respondent, or any member of the Ethics Commission, the Ethics Commis
will cause the hearings to be tape-recorded or filmed, and a transcript to be made. If this is requested by either a respondent
complainant, the requesting party will bear the costs.
6. With respect to the pubiic hearing process, the Ethics Commission will follow the requirements of Freedom of Information
legislation.
the
55
215. Finding o( Viotation; Penaities; Injunctive Relief.
To discuss penalties and other relief, click here.
1. Disciplinary Action.
Within thirty days after the last hearing, the Ethics Commission will determine whether to dismiss the complaint or, upon a find ng
of a violation of this code, to take appropriate disciplinary action pursuant to 107 of this code, or to recommend disciplinary ac ion
to the legislative body in circumstances where such action is required by 107(2) or by this section.
2. Finding a Violation.
A finding of a violation of this code requires the affirmative vote of three members of the Ethics Commission that there is clear
convincing evidence that the respondent has violated this code. Any member not present at all public hearings and deliberatic
may not vote. The written final decision must specify the code sections violated and provide a factual explanation supporting f
violation or, if no violation is found, findings of fact and the reasons for dismissal. When determining the appropriate penalty, t
following should be considered: the severity of the respondent's offense; the po~ition and responsibilities of the respondent; tF
presence or absence of any intention on the part of the respondent to conceal, deceive, or mislead; whether the violation was
deliberate, negligent, or inadvertent; and whether the incident was isolated or part of a pattern. The Ethics Commission must 1
its memorandum of decision with the City Clerk, and send it to the complainant and respondent, within ten days after it votes.
Comment: "Clear and convincing evidence" is only one possible basis on which to find a violation. Please provide informatior
about other bases and your feelings about and experiences with ihem.
3. Reprimand or Civil Fine
The Ethics Commission, on behalf of the city, may reprimand any person or entity it finds has violated this code, or it may imp
on such person or entity a civil fine as provided in subsections 2 and 3 af 107 of this code.
4. Damages.
The Ethics Commission, on behalf of the city, may initiate an action in the court of appropriate jurisdiction to obtain damages,
provided in subsectian 4 of 107 of this code.
5. Civil Forfeiture.
The Ethics Commission, on behalf of the city, may initiate an action or special proceeding, as appropriate, in the court of
appropriate jurisdiction to obtain civil forfeiture, as provided in subsection 5 of 107 of this code.
6. Injunctive Relief.
The Ethics Commission, on behalf of the city, may order a violator to cease and desist the violation if the violation is still ongo
or it may initiate an action or special proceeding, as appropriate, in the court of appropriate jurisdiction for injunctive relief to e
a violation of this code or to compel compliance with this code. The Ethics Commission may also order a violator of a disclosL
requirement to file an unfiled disclosure statement or to add information to a filed disclosure statement.
7. Suspension and Removal from Office.
The Ethics Commission may suspend or remove a respondent from office, or employ other sanctions or remedies authorized
law or collective bargaining agreement not listed in this section or in 107.
Comment: See comments to 107(2) for two alternative approached to suspension and removal from office, as well as commi
re union and civil service conflicts.
8. Prosecutions.
The Ethics Commission may refer possible criminal violations to the appropriate prosecutor. Nothing contained in this code
be construed to restrict the authority of any prosecutor to prosecute any violation of this code or of any other law.
9. Debarment.
To discuss this and other penalties relating to contracts, click here.
If the Ethics Commission finds that a person or entity has intentionally or knowingly violated any provision of this code, that
or entity is prohibited from entering into any contract with the city for a period not to exceed three years, pursuant to 108 of
code.
10. Limit on Ethics Commission.
Nothing in this section may be construed to permit the Ethics Commission to take any action with respect to any alleged viola ion
of this code, or of any other law, by the Commission or by any of its members or full-time staff members.
11. Penalties imposed by the Ethics Commission are exclusive of, and not affected by, each other or any other penalties imp sed
pursuant other laws or policies.
Comment: Some cities require their ethics commissions to file suits through the city attorney's office. The problem with this
approach is that it brings a political element into enforcement by allow the city attorney's office to choose whether or not to fil a
suit or, if it does, to determine how to proceed and the amount of resources to devote to the matter. Since the city attorney is
generally appointed and supervised by an individual or body that often has a special interest in the outcome of the matter, th city
attorney often has a conflict of interest: does he or she act in the interests of a supervisor (Ioyalty and self-interest) or in the p blic
interest (pursuing violators of the ethics code, but not for political reasons). It is better for the ethics commission to work throu h
counsel that is working for it alone.
216. Judicial Review.
To discuss this section, click here.
Any person or entity aggrieved by a decision of the Ethics Commission may seek judicial review and relief pursuant to
(state law].
56
217. Public Inspection nf Records; Public Access to Nieetings.
To discuss this section, click here.
1. Unless otherwise stated in this code, the records of the Ethics Commission will be available for public inspection. Records
available for public inspection include all disclosure statements, advisory opinions (with names and other necessary details
omitted to protect anonymity, unless the requesting parry states otherwise in writing), all requests for waivers and related paF
and decisions, and all papers filed and all decisions made in an Ethics Commission proceeding after a finding, formally or
presumed, of probable cause.
2. After a finding, formally or presumed, of probable cause, all hearings before the Ethics Commission concerning alleged
misconduct will be open to the public. All meetings, or parts of ineetings, of the Ethics Commission that are not directly relate
an investigation or other consideration of complaints prior to a finding of probable cause will be open to the public.
218. Miscellaneous Provisions.
To discuss this and the following miscellaneous provisions (218-222, click here.
1. No existing right or remedy may be Iost, impaired, or affected by reason of this code.
2. Nothing in this code may be deemed to bar or prevent a present or former city officiai or employee* from timely filing any cl im,
account, demand, or suit against the city on behalf of himself or herself or any member of his or her family arising out of perso al
injury or property damage or any lawful benefit authorized or permitted by law.
3. Any law of any sort - local, state, or federal - that requires a higher, greater, more exacting, or more restrictive standard of
conduct than is provided in this code prevails over the provisions of this code and continues in full force and effect with respe to
those covered by this code.
219. Distribution and Posting.
1. Within ninety days after the effective date of this section, and thereafter as appropriate, the Ethics Commission will transmit to
the [chief executive official] of the city, in a form suitable for posting, those provisions of this code which the Ethics Commissio
deems necessary for posting. Within thirty days after receipt of those copies, the [chief executive official] must cause the copi s o
these provisions to be posted conspicuously in every public building under the city's jurisdiction.
2. Within ninety days after the effective date of this section, and thereafter as appropriate, the Ethics Commission will transmit to
the [chief executive official] of the city, in a form suitable for distribution, a copy of this code. Within thirty days after receipt of t is
copy, the [chief executive official] must cause the copies to be distributed to every official and employee, to every contractor th
the city, and to all city consultants*, and must make the code readily available to the public by placing a copy on the city websi e
and copies in the city libraries and the office of the City Clerk.
3. Every official ar employee* elected, appointed, or hired thereafter must be furnished a copy of this code within ten days aft
entering upon the duties of his or her position. Each official employee, present and future, must within thirty days of receipt si a
statement that he or she has read and understood the code's provisions, and must file that statement with the Ethics Commis ion
In addition, such a statement should be signed and filed with the Ethics Commission every year on January 31 or, if filing an
annual disclosure statement, accompanying that statement.
4. Failure of the city to comply with the provisions of this section or failure of any official or employee* to receive a copy of the
provisions of this code shall have no effect on the duty of compliance with this code or on the enforcement of its provisions.
220 Liberal Construction of Code.
The provisions of this Code are to be construed liberally, to the end that the public interest be fully protected, and they are to
construed in a manner consistent with all applicable federal and state laws and applicable provisions of the City Charter.
221 Severability.
If any provision of this Code is held by any court, or by any federal or state agency of competent jurisdiction, to be invalid as
conflicting with any federal, state, or City Charter provision, or is held by such court or agency to be modified in order to confi
to the requirements of such provision, the conflicting provision of this Code is to be considered a separate, independent part
this Code, and such holding shall not affect the validity or enforceability of this Code as a whole or any part other than the pa
declared to be invalid.
222. Effecfive Date.
This law will take effect immediately upon filing in the office of the Secretary of State and in compliance with all applicable
provisions of law.
APP£h1DIX A
5asnpie: Annua6 [7isclosure Statement
To discuss annual disclosure, click here.
Last Name First Name Initial
Title Department, Agency, or Body
57
Home Address Phone No.
If the answer to any of the following questions is "none," please so indicate. If you have more than one entry for any of the
sections, please fill out separate sheets and attach to these sheets. If you could not obtain the required information from a
or other relative, set forth your efforts to obtain information on a separate sheet attached to this statement.
. Reai Estate.
List the address or, if there is no address or if the address provides insufficient information to describe a large piece of proper
description of each piece of real property in this city, or within one mile outside its boundaries, that you, your spouse, or other
relative own or have a financial interest in. "Relative" means your spouSe, child, step-child, brother, sister, parent or step-pare
or a person you claimed as a dependent on your latest state income tax return.
Name of Relative and Relationship to You
Address or Description of Real Estate
Type of Financial Interest (e.g., owns or partnership)
Youi- C}utside Employers or Businesses.
List the names and address of the principal or local office of any outside employers or businesses from which you receive
compensation for services rendered or goods sold or produced, or of which you are a member, official, or employee. Also incl de
any entity in which you have an ownership interest, except a public corporation of which you own less than five percent of the
outstanding stock or stock valued at less than $50,000, whichever is less (such a public corporation need be listed only if it do s
business with or in the city). Identify the type of entity (e.g., partnership, corporation, self-employment, or sole proprietorship), nd
list your relationship to the employer or business (e.g., employee, owner, partner, official, director, member, or shareholder).
Name of Empioyer or Business
Nature of Business
Type of Entity
Your Relationship to Employer or Business
3. Your Spouse's or pomestic Partner's Employer or Business.
List the information in question 2 for your spouse or domestic partner.
Name of Employer or Business
Nature of Business
Type of Entity
Relationship to Employer or Business
4. Employed Relatives.
List the names and addresses of all relatives employed, directly or indirectly, as employees, contractors, or consultants, by th city
during the prior year. See 1 above for definition of "relative."
513
Arlington, TX.
59
zooIM W58 ou xxi111 sz:st ng.L toozigliEo
.
.
ADMY
XST
TYON
2 0 1
ARTICLE xYr
: coD$ oF ETHzcs
:Section 12.01 Declaration of Ethi.cal Policy
'
;p,. IC is the policy of the City that the proper
opex'
Cion
of democratic government requires that public
ofgi
ials
be independent, impartial, an.d responsibl
to
the
; geople; that governmental decisions and poli
y be
made
in pxop@r chanxzels of the governmental struc
ure;
that
public office not be used fvr personal gain,
and
that
the public have confidence in the integri
y of
its
government. In recognition of theae goals,
a co
o£
. ethics for all Ci.ty officia].s is adopted.
This code of ethicts has five (5) purposes:
1. To encourage the publxc service by
Arli
gton
citizens;
2. To encourage high ethical standards i
off
cial
~ conduct by City officials;
' 3. To establish guidelines for ethical 8t
ndar
of
conduct for all such officials by set
ing
orth
~ those acts or actions that are incompa
ible
with
. the best i.nterests of the City;
• 4. To require disc7.osure by such officials
f pr
vate
fi,nancxal or other i.nterests in znatters
affe
ting
: the Citi]t; and
. S. To serve as a basis for disciplining
those
wha
fail to abide by its cerms.
C. The prvvisions of this article shall not
appl
to
conCributions, loans, expenditures or repnrt
s, an
of
. which aze made for lawful political purposes.
D. This Cade of EthicS is not intended to be no sha 1 it
be used as a politi.cal weapon to inti idat or
embarrass persons affecLed.
E. In those matters before the City CQUnci,l wher the e is
a conflict with this Declaratiort vf Ethical F licy the
elected City offici.al must refrain rom the
deliberations of the CounciJ, and abstain from voti g.
P,RTIC E Xz - 1
. (Amend Ord 92-98 3/1 /92)
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60
£OOln M98 OH %2I/%Z1 69:9T IIH.L b00Z/8T/£0
;
~ ADMZNIsTxAxxvrr
: 12.02
:Sectiors 12.02 Standards
Commissian
Coaduct Subjeat
ew
' A. No City official shall formall.y appear tor cc
beEore the body of which the official is a me
acting as an advocate for any other person
entity.
S. Na City official shall represent, for compen:
other pr.zvate person, group or entity befor
on which such City official may be a member.
ns tion
r hi le
ra A or
tion any
any body
C. No elected City official ahall interfere wi,t the City
Manager's administratxve duties of appointm nt t. and
removal of persons trom employment with the ;a.ty. Nor
shall private directives be made to City sta f.
~n_ No city official shall represent, di ectl or
indixectly, any other private person, group or e tity
in any action or praceeding against the in eres s of
the City, or in any 3itigation in which the ity o any
department, comrnission, board ox committee t ereof is a
party.
No City official shall represent, o her trian
himself/herself, directly or indirectily, a y pr vate
: person, grdup or entity in any action or pr ceedi g in
. the municipal courts oE the City.
F. 1. No City official shall solicit or ac ept thet
. employment to be performed or compensa ion o be
. received while still a City officia , it the
employment or compensation could rea onabl be
expected tio impair independence in j dgme or
. performaneP of. City duties.
2. Tf a City official accepts or is so ici.t' g a
prornise of future employment from any pers n or
entiCy who has a subsCantial interest i a pe son,
enta.ty or property whzch would be affected b any
• decision upon which the official might reaso ably
be expected to act, investi.gate, advise or m ke a
recommendation, the official sha11 dis 1.ose that
fact to the board or commission on wh'ch h/she
serves and shall take no further action on ma ters
regarding the potential future emplvyer.
G. No City official shall accept remuneration, irect y ar
indirectly, for campaign work relating o an ther
individual's candidacy fvr and election to ayor, City
Council or other elected office of the Cit of
:ARTICLE XII - 2
:(Amend Ord 01-074, 7/10/01)
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ADMI
❑
2.02
Arl.ingCon, or any othe'z item placed on the ballc
the City Council, when such work is to be perf
within twelve (12) months of the respective elec
i.f the City official served on the body which exer
authority in the development of the ballot itea
participated i.n the discussion or voted on th ite
t by
rmed
ion,
ised
and
H. A c'ity official may not participata in vot or
decision on any zoning matter which may app ar b fore
tho body of which the City official is a mem er i the
City official. has a substantial interest i any real
property within two hundred feet (2001) of rh pr4 erty
which is the subject of the zoning xequest.
I. A City official who serves as a aorporate ffic or
member of the board of directors of a nonpro it e tity
may not participate in a vote or decision rega ding
furiding by or through the Ci.ty tor the entit , if said
official receives any fee, compensation or ther
mpnetary payment from the entity, unless the City
: Counci.l appointed such City official to the boaril of
directoxs or such corpvxate office.
J. A City of:E icial shall not disclose arey co f ide tial
government inforrnation gained by reason of the Citiy
official's position. Thie rule does not proh bit:
a, any disclosure that is no lvnger co fide tial
: government information;
~ b. the confidential reporting of illegal or unet ical
conduct to authvrities designared by law or
c. any disclosure, not otherwise prohibite by law,
: in furtherance of pub7.ic safety af er i.rst
conferring with the City AtLOrney bout any
potent;Lal liabili.ty expasure. (Amend O d 01 074,
: 7/10/01)
SeCti.on 12.03 Additional Ethical Standarde
A. A City of f icial may nat participa:.e in vot or
decision on a matter affectxng aperson, entit or
property in which the vffici.a:. has a co flic of
interest. See Chapter 171, Texas Local over ment
Code, Regulation of Cantlicts of Interest o Off cers
of MunicipaliCies, Counties, and Certain 0 her ocal
. C,avexnmenrs.
XRTrc E xz - 3
(Amend Ord 01-074 7/1 /O1)
~ 3JVd `LS=9E ~0-8E-dvlN •`OZE9 6S~ LE8 ` 01JNI1 vJ0 AlIO :A8 1N3S
6 7
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ADMTNISTRATION
12_03
1_ A. City official shall review the gend to
determine if there arE any mattera iri w ich h/she
has a canflict of interest prior to ea h me ting
of the body to which the City offi ial '8 a
meinbe r .
2. A Ciry official shall file a statemen pri r to
the meeting indicating that he/she ha rev ewed
. the agenda and that there are no matter in hich
he/she has a confli.ct of interest.
3. zf, upon review of the agenda, a.t is dete ined
that the City offa.cial has a conElict o inte est,
he/she shall file an affidavit as r quir by
Texas Local Government Code, Chapter 171, and
abstiain from participation in the diec ssio and
voting on thE matter.
B. No City vffi.cial shali violate Chapter 37 ( erjur and
Other Falsificati.on) of thc Texas Penal C de. Nor
shall a City of£icial solicit, encourage, direct aid
, dr atCempt to aid another person to cammit viol tion
of Chagter 37 of the Texas Penal Code.
:C. No City offi.cial shall use his/her afficiaX ositi n to
. -~ecure cvnfidential information fax any pu ose ther
. than official responsibilities. See 5ect on 3.06,
Texas Pena7, Code, Misuse of Official Infoxma ion.
: D. No City offi.cial shall use City facil.itxes, perso el,
equipment or supplies for privaCe purpases, exce tto
the extent such are customary, i.ncidental o iaw uXly
avai.lable to the public. See Section 39 02, exas
. Penal Code, Abuse of Official Capacity.
E. No city official shall accept or solicit a y gi t or
favor that would tend Lo influence that individu 1 in
the discharge of official duLies or that th off cial
knows has been offered with the intent to i fluen e vr
reward official conduct. See Section 36 02, exas
Qenal Code, Bzibery. (Amend Ord 01-074, 7/1 /01)
: Sectiori 12.04 Dioclosure of Conflict of Znterer3C
A. A City oEticial shal7, disclose the.existe ce o any
conflict of interest he/she may have with respect to a
oerson, enti.ty or property which would be af ected by a
vote or decision of the body of which the Ci y off cial
is a member or that he/she servee as a corp rate
officer or member of the board of direc ors f a
:ARTICLE XIE - 4
:(Amend Ord 01-074, 7/10/01)
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ADM IST TZON
2.04
nonprofit encir.y for which a vote or decisio xega ding
funding by or through the City is being consi ered
:B. To cornply with this section, a Councf.7, memb r or city
: official, prior to the vote or decision, ei hez hall
• €ile an affidavit as requa,red by Texas Local over ment
Code, Chapter 171 (Regulation of Conflicts o Int rest
of Off icers of Municipalities), or if not s req ired
by said statute, shall pub3.icly disclos in the
official records of the body Che nature and exte t of
such intexest.
:C. Where tha interest of a City official in t e su ject
matter of a vote or decision is remate or 3. ci.de tal,
the Czty official may parti.cipate in th vat ox
~ decision and need not disclose the interest.
1. "Remote intereet" means an interest of a pers n or
enti.ty, including a City oftieial, who wou be
affected in the same way as the gener 1 pu 1ic.
The interest of a Council member in th pro erry
tax rate, gsneral-City fees, Citiy utili y ch zges
or a comprehenaive zoning ordinance r sx ilar
decisians is zncidental to the extent that the
Council member would be affecred in c mmon with
Lfie general public.
2. "Incidenral i.ntezesC" means an inter st n a
person, entity or property which is n a
substantial intPrest and which has ins gnif cant
value, or which would be affectied onl i.n de
mi.nimis fashion by a decision. This ar icle does
not establish dollax limit5 on t e Grins
l'insigilificant value', and "de minimi , 11 hich
shall have their usual meanings and be ubje t to
interpretation on a case by case basis.
D. ::othing in thi.s article sha11 prohibit the Ci y Co cil
from partic-ipating in a vote or decision r latin Co
salaries, terms of office ox travel budget of City
. Council membe7cs. (Amend Ord 01-074, 7/10/01)
Section 12.05 Sutistaatial Interest o£ Relative
A. A conflict of interest of an immedi,ate family memb of
a City oftzr.ial shall be deemed. to appl to hat
otticial for the purposes of Sections 12.02 and .03
concerning di.sclosure and recusal or reassign ent.
ARTIC E XI - 5
(Amend Ord 01-074 7/1 I01)
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` ADMYNISTRATIpN
' 12.05
: S. A City official subject to Texas Local Gove
Chapter 171, may not., partici.pate in a vote
a:ffecting a substantiaY intexest of dn imme
metnber Gf LYie official. (Amend Ord 93-05,
Sactiosi 12.06 Disclosure of Ynterests RegardL
Changes
:A. Any person seeking City Council, Zaning Boa:
Adjustment, Planning and 2oning Commission, r Lai
Preservation CommiS97.o21 consideration r ~
concerning arxy application for rezozxi.ng, pla app:
certificateg of appropriateness, certif'cate
demolitian or relocation, special exceptiv , va;
or similar application requxxing action by t e P1;
and Zoning Commission, Landmark Preservation Cotnm:
or Zoning Board o:E Adjustment, shall fi].e a disc:
statement with the City.
1. Said statement 5ha11 be fi].ed at th ti
filing of such application with th ~l;
Department, Neighborhood Sexvices Dep rtme
Building. Inspecti.ons .
2. The applicant shaZl specifica].ly name any i
of the above-xeferenced bodies or Cit em)
believed by the applicant ox owner o h
conflict of interest in Lhe matiter or t e prc
which is the subject of consideration or ao
The applicant shall further state a11 nfort
upvn which he bases the belief that a onfl:
. interest exists.
3. The applicant is not required to repo
intere5t in property loCated within t oh
feet (2001) of the property that is the subj
consideration or action. (Amend O d 0
y/iz/vo)
B. The applicant and the owner shall file st
those cases where the applicant does n
property which zs the subject o£ consi
. action. (Amend Ord 93-06, I/26/93)
:Sectiio:l 12.07 Ethics Review Comulissioll
;A. There shall be created an Ethics Review
!Commission). It shall have the duCy and pc
otherwi9e provided, to rule upon the
;ARTICLE XII - 6
~(Amend Ord 01-074, 7/10/01)
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of
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ion
ure
af
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or
mber
oyee
re a
erty
lOTl .
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t of
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104,
=emen s in
ow the
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.
ADMY IST 'i'ION
2.07
disposition of a1l.egations ot violations I f SeI
12.02 of this Article. B. Members.
Z. The City Council shall appoi.nt a chair er
eight (8) other members to the Ethi S
Commission.
2_
The Mayor and each member of the Ci
y Coi
shall nominate a member to the Commissi
n.
nominations shal], be contirrned by majori
y vo1
the City Council. The City Cvuncil shou
d apl
as members of the Commission persone
of
integrity cornmensurate with the spiri
of
Code of Ethics.
3.
Commission members shall be appointed to
stagc
terms with the terms of four (4) mernbers
to e:
June 1, 2002, and the terms of the chai
ersoi
four (4) members to expire June
I,, :
Thereafter, all Commission membezs
shall
appointed to two (2) year terms.
4.
A1l members shall be xesidents of th
Cit
Arlington. No member shall hold any Ci
y ele
office, be a candidate for any such
offic
hald any othEr City appointed otfice.
5.
The chairperson of the Commission shal
l apF
three members of the Commission to s
rve ,
Commission panel to preside over p
elimi
hearings. The clZairperson sha1,Z
ppoin
chairperson for each panel and may rota
e rnen
of the Commission as necessary for the e
pedit
hearing of each complaint.
6.
Members of hhe Commission serve at the p
easux
the City Council and may be removed by
majc
voce of sai.d Council.
Quorum; Mcetings; Rules.
11
When the Commission is meeting as a wh
le, s
or more members ot the Commissivn shall
onsti
a quorum.
2. When a panel convene9 to preside
preliminary heax'ing, three member
constitute a quorum.
8 3JVd
ktivn
and
view
cil
ese
of
int
igh
his
red
ixe
and
03.
be
of
ed
or
int
i a
a
rs
us
of
ity
ute
a
1
ARTIC E XII - 7
(Amend Ord 01-074, 7/10 01)
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: ADMINISTRATION
: 12.07
3. Every aneeting or hearing of the Corntcci
panel of the Commission shall be
accordance with Chapter 551 of
Govcrnme31t Cnda.
4. Ttie Commission may adopt, amend and re:
of procedure to carry out the provisic
Ax'ticle. Such rules shall be consisten
Article and other applicable law,
` D. Duties. T'he Comrnission shall have the
duties:
n
sion or a
hel in
he exas
:ind ules
s at this
wit this
fol wing
fil its
isp e of
fo tihe
1. To meet as often as necessaxy to f 1
responsibi3.ities;
2. To review, index, maintain on file, and d
sworn complaints;
3. To make findinga of fact as nccOssa
dispoaition of a complaint;
E.
4. To make notificatiens, extend dead ines, and
conduct investigations; and
5. Such other duties as are specifically grant d by
this Axticle.
Staffing.
1.
2.
3.
4.
Trie Commission may request from the City M ager
the appointment of such staff as is n cessa y to
carry out the duties of the Commissian.
Trie Commission may be assigned staff b thP City
Attarney to assist in its duties.
When complaints are filed against a Ci y off'cial
other than a City Council member, 'ndepe dent
legal counsel may be utilized at the di creti. n of
the City Attorney to advise the Comrn'ssio and
participate in hearings. When a co plai t is
tiled against a City Council member, the City
Attorney shall engage indeperident legal couns 1 to
advise the Comrrtissian, unless the Cit Att rney
determiries Chere az'e rio reasonable roun to
believe that a violation of Section 12.0 has
oGC:urred.
A City official may request the meanin or e fect
of any section, word or requzxemen of this
:ARTICLE XII - 8
:(Amend Ord 01-074, 7/10/01)
r~~..
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. . .
, AJDMZ zsT TXON
2.07
Article as it affects such official, an the city
Attorney's officP shall thereupon eon£e wit the
' City official. (Ameni3 Ord 01-074, 7/10/ 1)
;Section
12.08
Dis osition of Alle ed Violations;
essi
s
°A. Complaint
Procedure.
1.
Any
resident of th.e City who believes
there
has
been
a violation of Section 12.02 m
y fi
e a
sworn camplair}t, u.nder the penalty of
per
ury,
with
the Ci.ty SecreCary.
2.
The
complaYnt shalJ.:
:
a.
Identify tha person or persans who
a3.le
dly
committed the violation;
b.
Pxovide a sufficient statement of
the
acts
which if true would constitute a p
ima
cxe
vivlation of Section 12.02;
c.
Spncify the subsection of Sect'
on 3
2.02
which is alleged to have been viola
ed;
d.
Identify sources of evidence, if
any,
hat
~
the complainant recomrnends s
ould
be
considered by the Commission; and
e.
be filed on a Form prescribed by
the
iLy
Atcorney's Office.
3.
Not
later than seven (7) working days
after
the
City
Secretary receives a sworn compl
int,
the
City
SccreCary shall acknowledge the
ceip
of
the
complaint to the complainant and
rovi
e a
Copy
of the complaint to the City Att
rney,
the
Ethics Reviaw Commiesion, the City Cou
cil
and
the person campl,ained against.
8. Review of
Complaints by City Attorney.
1-
i7pon
rec.eipt of a cc+mplaint, the Citiy
Att
ney
shall review the complaint. to deterrni
e wh
her
:
the complaint is suffici.ent as to fvxm a
d wh
hex
:
the
cornplaint. a7.].eges sufficient facts
whic
if
.
txue
would constitute a prima facie vi
latio
of
Section 12.02.
ARTIC E XI - 9
' (Amend Ord 01-074 7/1 O1)
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' ADMINISTRATION
: 12.08
2. If the City Attorney determines that th
is defective aa to form ar does not all
which would violate Section 12.02,
Attorney shall, notify trie Commis
complainant, the City Council and
complained against of such defect withi
wdrking days aftex receipC of the com
the City Secretary.
❑
cam aint
ge c duct
the City
lion, the
he rson
sev (7)
Laint from
~ 3. The complaint sha21 be dismissed upon a findi g by
. the City Attorney that the cotn ldin is
insufficient and no further action sha 1 be aken
by the Commission.
4. Upon a finding by the City Attorney th t a rima
facie violat,ion has been alleged, the cocn aint
4hall be deemed a formally lodged comp aint nd a
. preliminary heax'ing shall be scheduled to be held
within twenty (20) working days.
: C. PrelimYnary Hearing.
~ 1. A panel consisting of three (3) Commiss'on me ers
shall preside ovex preliminary hearings.
. 2. The issue at a pre3.iminary hearing sh 11 b the
existence of reasonablE grounds to bel'eve r at a
vioZation o£ Section 12.02 has occurred
2. The person filing a complaint shall stat the
alleged violation and shall describe i nar tive
form the testiimvny and other evidence hich ould
be presented to prove the alleged vi lati n as
stated in the written complaint.
4. Statements at a preliminary hearing sha 1 be nder
oath, but there shall be no cross-exa inati n vr
requests for persons or evidence issu dfo the
hearing.
5. The offi.cial may describe in narrativ tor the
testimony and other evidence which woul be
presented to disprove the al].eged viola ion.
6. Members of the panel may queetion Che cc
camplainant's designated representati
counsel fvr the Cammission or the Cit
named in the complaint in order to
determinations neceasary for the I
hearing.
:ARTICLE XIZ - 10
:iAmend Ord 01-074, 7/10/01?
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P, Q
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make
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,
egal
cial
t he
nary
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112 . 08
7. The City official named :Ln the compl int hall
have the opportunity tQ respond b t i s not
required to attend or make a,riy statemen .
e. 'T'he complain.anti and the City official n med i the
complainL shall have the right of rep esent tian
by counsel.
9. At the conclusion of the preliminary hearing the
panel shall decide whethez afina7. hea ing s ould
bP held.
a. It the panel determines that there are
reasonable grouncis to believe t2t a
-violation of Section 12.02 has. o curr , a
final hearing shall be scheduled.
b. zf the panel does not detexmine hat here
are reasonable gxounds to belxe e ch t a
violation o£ Section 12.02 has occ rred the
complairiC shall be dismissed.
c. A decisiotl Co conduct a final hear'ng i nvt
a finding that a violation has occ rred.
10. The panel, at any time during the relim nary
hearing, may also dismiss a complai t if the
complaint does not allege conduct which ou].d be a
violation of Section 12.02.
11. The cornplainant, any rneraber oL Lhe C mmis ivn,
legal counsel for the Cvmmission and the City
official named in the complaint may ask the anel
at a pre].iminary hearing to reques ce tiain
persons and evidence for a final heari g, i one
is scheduled_
D. Final hearing.
1. TtYe Commission sitting as a whole wi 1 pr sidE
ovez all final hearings.
2. The issue at a final hearing shall be whet r a
violation of Section 1.2.02 has occurred.
3. A detertnination that a violation o£ Sec ion 2.02
has oCCUrred musr be supported by lear and
convincing evidence. "ClEar and onvi eing
evidencs" means that measure or degree of roof
that pxvduces in a person' s mind a f irm beli f or
ARTICL XII - 11
(Amend Ord 01-074 7/1 /01)
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. ~
: ADMxNxsTRATraN
: 12.08
conviction as to the truth oE the lleg tions
: sought to be establiahed.
4. All witnesses shall make their statettJ.nta under
oath. I
5. If a complaint proceeds to a final h arin the
Commiasion may request witnesses to tten and
testify, adminzster oaths and at£irma ions, take
evidence and request the production of oks,
papers, records or other evidence nee ed fo the
performance of the Commi.ssion's duties x ex rcise
of its powers, including its duties an pow s of
investigation.
6. If the Commission determines that a vi lati has
occurred, it sha31 stiate its findings 'n wr ing,
shall idenr_if,y the parti.cular subsec ion( ) af
Section 12.02 which have been violated, and 'thin
five (5) working days shall deliver a opy the
findings to the complainant, if any, the rson
named in the complaint, the Czty Secret ry a the
: City Attorney.
7. The fiaal hearing shaJ.l be held as ex edit' usly
: as possible following the determinat'on b the
panel that there are reasonable grounds to b ieve
that a violation of Section 12.02 has occ red,
but in no event, except if postported a des ibed
: below, sha11 iL- be held more than tihirt (30) days
after said determination,
The Cnmmission may grant two (2) pos pone nts,
not ta exceed fifteen (15) days each, upo the
rPCliiest of the City official name in the
. complaint.
:E. Appeal to City Council.
1. within fourteen (14) ca3.endar days after the
Comntission has rendered a decisi.on at the ina.l
hearing, the person subject to the co lain may
file with the City 9ecretary an appeal o the City
. Council setting forth the basis for suc appe 1,
2. A hearing shall bc scheduled before the City
Council within 30 cal,endar days.
.
3. City Council review of a decision by the E hics
Commission shall not be by a, de no o he ring
. where facts are established; rather, t e z view
: ARTZCr,Z xzI - ia
:(Amend Ord 01-074, 7/10/01)
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ADM 11
TION
2.08
~ ahall be on the xecord that was befoxe the E hics
Commission.: 4. A transcript of the proceedings as w 11 a a11
documentation before the Ethics Commis ion hall
be forwarded to the City Council for it revi w.
: 5. If at the hearing, the City Council deter ines
that tesCitnony is necessary for t e p oper
. disposition vf the matter, it may take such
evzdence.
:F. Vote Required.
1. Commission Panel. A determinaCion by pan 1, of
. the Commission that there are reasonab e gr unds
to believe that a violation af Section 12.0 has
occurred sshall require ehe affirmative ote f at
; least two members vf the panel.
2. Ethics Comrnission. A determinatio th t a
:violation of Section 12.02 has occu red hall
~ require the affirmative vote of at 1 ast even
members of the Commisaion.
3. City Council. A detErminarion on an app al b fvre
the City Council shall require the a firm tive
vate of N of the City Councii, excluding a Co ncil
member who may be the subject of the com lain .
!G. pxohibition of k;x Parte Communications. Aft r a
; Comp7.aint has been filed and during the pen ency of a
; complaint before the Commission, a pane of the
Commission, or the City council, a member of the bove
: respective bodi.es may not communicate d'rect]. or
indirectly with the complainant, the af tected City
official or any representative thereof about any ssue
: of fact or ].aw regarding the complaint, e ept t a
mQeting of, the respective body or thxou h wr tten
statement or brief, if requested by tihe Com iasi n or
City Council. A copy of any such written st teme t or
~ brief sha].l be promptly filea witti Lhe City Secr tary
. and the City Attorney.
;H. T,egal Representati.on Relative to Secti n 2.02
: ComplainCs.
1, A City official may employ a private a torn to
provi.de representation before th E thics
. Commission and the City Council.
ARTICL XII - 13
(Amend Ord 01-074 7/1 /O1}
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,
~ ADM2NYSTRATION
: 12.08
it
2. If a City official is found innoce
alleged charges, the City shall rei
reasoriable legal fees and eacpenses i
s
defending a Section 12.02 complaint upo a f
by the City Council that the public in eres
be served. The City Attorney eha 1 m
. determination ae to what constitutes reas
fees and expenses for the representat on c
complaint.
I. Rdmission of Violation or Plea of No Contest
1. On or before three (3)
scheduled preliminary
subject to an ethics c
of the hearing proceas
writiten plea of "no
Secretary.
. 2. The preliminary heari,ng shall be cance led nd a
hearing before the entire Commission sha 3. be
scheduled as expedi.tiously as possible, but n no
event shall it be held more than thirt (30) days
after the filing of the admission and w iver.
~ 3. At the hearing CYie City official may xpla n to
the Comrnission any extenuacing ci cumst nces
relative to the eChics violation. f a tihe
hearing, tihe Cornmiasion determines that addit'onal
testimony is necessary for the proper ispos'tion
of the matter, the Commission may take vide e as
. it deems appropx'iate.
4. While the Commissiotl shall consider the City
official's explanati.on for the viol tion, the
Commission shall in its sole di:scretivn rende tha
. sanctivn, it any, that it deems appropr'ate.
:J. Disposition. If the Commission c.3Ptermin s t t a
violation of Section 12.02 has oceurred, it shall
. deliver a copy of the findings to the compl inathe
person named in the complaint, and the City lounM-
K . S anctions. If the Commission determine
violation has occuxred, it rrtay announce its'
to impose or recommend the following sanct
appeal to the City Council wi11 stay any d
the Erhics Commission. The Commission may
sanctions until the time period for an app4
City Council has expired.
s th
irite
ions.
acisi,
not i
:al ti
business days p ior t the
hearing, a Cit of 'cial
'ornplaint may fil a i.ver
and a written a missi n or
contest" with the City
: ARTICLE XII - 14
; (Amend Ord 01-074, 7/10/01)
6E/54 31D11d `69:9E q0'8E-avYV `0ZE9 6S-P LE8
1 7 ~R
i
the
the
d in
iding
will
se a
zable
Lhe
a
ion
An
by
ose
the
:
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ADM I.N:L S
n
TION
2.08
~ 1. Letter of Notification. A letter of no ific ti,on
. shall be the appropriate sanction when the
violatian is clearly uninteriti.onal, or when the
: City official 's conduct complaa.ned of w s ma e in
~ reasonab].e reliance on an opinion of the City
Attorncy.
a. A letter of notiPication shall advise the
City official to whom it is direc ed o any
sCeps tio be taken to avoid future v'dlat ons.
b. The Commission may direct a ette of
notification to any City official over by
thi.s Axta.cle.
2. Letter of Admonition. A lecter of admoni ion hall
be the appropriate sanction in those case in
which Che Commission finds that the vi lati is
minor and/or may have been utiintenti nal, but
calls for a more substantial respons th n a
IeCLer of notification. The Comm]. sion may
admonish any Ci.ty official covered by his
Arta.cl.e.
3. lzeprimand. A reprimand shall be the a prop iate
sanction when the Commission finds tha a
vialation has been committed intenti nall or
through reckless disregard of this Artic e.
a. The Commission may reprimand ny ity
official covered by this AxticJ.e.
b. A reprimand directed co a City offi ial s~iall
also bE sent to the City Council.
4. Removal or Suspension From Office. To he e ent
aiioWea by the City Chaxter, a recomme datio of
removal from offi.ce or, except in the casa o an
elected City official, a recommend tion of
suspension from affice, as well as a
recammeridation for length of suspension, shal be
the appropriate sanction when the Commzs ion 'nds
that a serious or repeated violation of his
Article has been committed intenti a11y ox
through reckless disregard of this ArC cle ya
non-elected City official.
: a. A recommendation
of removal,
frorn o
€ice
r a
• xec:ommendation of
suspension
from
ffice
for
a City ofticial shall be transmitt
d tio
the
City Council.
-
ARTICL
XzI
15
~
(Amend Ozd
01-074,
7/I0
O1)
6 E19 E 3Jdd `69:S~ -P0' 8 E- ti17vi 'OZ 49
6917 Lw
Ol0NI~
vJ0 hlID :M] 1US
. 17 A
LTOII~ 1048 Ou %H/%Z] 6Z:9i I1HZ t00Z/9T/£0
ADMINISTRATION
12.08
b. The final authority to carry
recommendations to remove from
suspend trom offi.ce and the l.er
suspension shall be with the City
aut
offic
th o
■
such
: or
the
l.
5. Letter of Censure. A letter o€ censu e sh 1 be
the appropriate sanction when the Commi sion inds
that a sexious or repeated violatiol-i of thiG
Article has been committed iritentiona3l or
through recklese disxegard of Chis Art'cle y an
elected City offi.cial.
a. A letter of censure directed to
City official shall be transmit
; City Secretary and sent to the Cit
: b. The City Council may impose a
censure removing the City officx<
or all Council committee appointme
affirmative vote of the entir
, excludiztg Che affected City offici
. Ord 01-074, 7/10/01)
Section 12.09 Defini'tions
For the purposes of this article:
'"Affected" means zeasonably likely to be subject
ecoriomic etfect or consequence, either positive
as a result of the vote or decision in question
:ot a person, enticy or property.
"City employee or employee" means City Manager,
ManagPr, C'iry Attorney and all department heads.
"City offa.cial or ofticial" means the fallowing:
;The Mayor
:Members of the City Council
: Members of :
:Arlington Sports Facilities Development Authori,ty,
:Building Code Baard of Appeals
:ElPCtricaZ Code Board of Appeals
:Ethics Review Commission
:Emergency Physicians Advisory Board
: Health Aut:hority
; Hospital xuthora.ty
:Housing Advisflry and Appeal.s Board
:Industrial Development Cvrporation
:Landmark Preservation Commission
ARTICLE XYr - 16
(Arnend Ord 01-074, 7/10/01)
an e
cted
ed t
the
Cou
il.
lett
r of
. f roilli
any
ts u
ri aTl
Ca
cil,
1. (
mend
~ a ' rect
neg ive,
the case
put City
InC.I
6E/LE 3Jdd `00:9E vO-BE-dvVY `•OZE9 6Sb 1-E8 ! OlONII t1 J0 AlIQ :A9 1N38
. 75
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I
:Licenee and Amdrtization Appeals Board
~Mechanical Code Boa•rd of Appeals
:North Texas Higher Education Authority
:pax}c and Recreation Board
:Planning and Zoning Commission
:Supervising Board of Plumbers
:Zoning Board of Adjuatment
~"Cozx£lict of interest" means ac4ion upon any
:would constitute a violation of this Code of
:Penal Code or Texas Local Government Code, Chapt
ma'ter
Ethcs,
e 171.
C
I ON
2_09
ch
"Decision" means any ordinance, xesoXution, cont act,
francha.se, formal action or other matter voted on b the
City Coun.cil or other City board or commission, as listi d in
Section 12.09, the definition of "City of icia or
official," as well as the discussions or delibe atio s of
the council, board or commi.ssi.on wh.ich can or may lead to a
vote or formal action by that body.
:nDiscretionary suthority" means the power to ex rcis any
;judgtnent zn a decision or action.
:IfEntity" means a sole proprietorship, partnershi , li ited
` :partnersYlip, firm, corporatioa, professional co pora ion,
:hvlding company, joint stock company, jvint ven ure,
~receivership, trust ox any othex entity recogni ed b law
:through which business may be conducted.
^Imuediate family member" meane the spouse, pax'Pn , pa ent-
:i.n-law, bzother, brother-in-law, sister, siat r-in law,
:child, son-in-law or daughter-in-law or other per on 1 ving
:in the same residential dwelling unit of the Ci,ty £fi.c al.
"Miziisterial aer" means an act performed in a resc ibed
:manner and not zequizing the exercise of any j dgme or
:discretion.
"Person" means an individual, proprietorship, pa tner hip,
corporation, association or othex' legal, entity.
:"Subatantial interest" means:
:A. A person has a substantial ir.zzrest in bus ness
: enti.ty if :
~ 1. The person owns ten percenC (10•°s) or m re o the
; vvting stock or eharee af the business entii or
owns eithex ten percenti (10$) or more r Fi teen
ThouSand and No/100 Dollars ($15,000.0 ) or more
~
ARTICL XTI - 17
(Amend Ord 01-074 7/1 /01)
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. 75
6i0In 16tS9 OH X2I/1Z1 6Z:9T fl&L 600Z/81/£0
: ADMrNXSTRATION
~ 3.2.09
: of the fair market value of the busi:
or
2. Funds received by the person from t
. entity exceed ten percent (lo%) of 1
gross income far the previau$ year.
: B. A person has a substantial interest in r,eal
the interest is an equitable or Iegal owne:
tair market value of Two Thousand Five
No/100 Do11arN ($2,500.00) or more. (Amend
. 7/10/O1)
:
:ss e
tity;
e bu
iness
~e pe
son's
)rope
ty if
ship
Lth a
undre
I
and
)rd 0
-074,
:aRTZCLE xzz - ia
:(Amend Ord 01-074, 7/10/01)
6F/6E 3J17d !00:9E -p0-8F-dvw `OZE9 6Sb L 187
7
`r
Id J0 AlID : A8 1N35
Denton, TX.
78
S Khr pocummmRecolmiau`06TAhKS PdkriAmcndm".DOC
RESOLUTION NO. OD r Oi
A RESOLUTION AMENDING THE ETHICS POLICY FOR
APPOINTED OFFICIALS FOR THE CITY OF DENTON, TEXAS;
AN EFFECTIVE DATE
WHEREAS, on May 18, 2004 City Council passed Resolution l
Ethics Policy for Elected and Appointed Officials and upon a recomme
Ethics Sub-committee hereby approves an amendment to the policy as set
WHEREAS, the City Council of the City of Denton acknowledges t
is a representative democracy and those who are elected or appointed
representatives accept a public trust that requires tttem to faithfully and di
public responsibilities; and
WHEREAS, the City Council of the City of Denton recognizes th
who serve as public servants must adhere to a higher ethical standard o1
activities of government should benefit the community as a whole and shou
individual interest of public decision makers; NOW, THEREFURE,
THE COUNCiL OF THE C1TY OF DENTON HEREBY RESOLVES:
SECTION 1. That the following ETHICS POLICY for
Officials - City of Denton, Texas, which shall appty to all elected and
City, is hereby amended to read as follows:
ETHICS POLICY for Elected and Appointed Officials - City of
This Ethics Policy has been adopted to encourage and ensure the highest st,
and public conduct during tenure in office. Adherence to this Poticy
confidence and trust in the decision-makers and representatives of the Cit)
independent, impartial, and accountable to the people they serve. In adi
appointed officials must adhere to Texas state statues and City Charter p
Council Rules of Procedure governing their conduct. These are listed at the
Thus, elected City Council Members as weil as appointed members of the
Commissions are asked to subscribe to the Texas statutes, City of Dentor
Procedures for City Boards and Commissions, and this Ethics Policy.
1. As a representative of the City of Denton, I will be ethical.
I will act with integrity and moral courage. l will be absolutely truthful. I
decisions that are free of bribes, unlawful gifts, narrow political interests
interests that might impair my independence of judgment. 1 will always dec
the whole city. I will respect confidences and information designated "confid
:D AND
l:5 optmg an
by e Council
rein and
our vernment
servothers as
ntly ulfill their
those ndividuals
:onduc since the
never Lenefit the
I and
ppointed
ted offi
ials of the
ton, T
as.
idards
f personal
will m
intain the
who
st remain
ition,
ected and
ovision
and City
end of
is Palicy.
City's
oards and
Charte
Rules of
impartial
r personal
is best for
the extent
95
r~n
~ ! J
S:Y7er boamm&JeidaiwWMEUh'ss Pdicy-AmeodawN.POC
pertnitted by law. I will use my title and city togo or letterhead only when
City business and will not exceed my authority.
2. As a representative of the City of Denton, I will be service-oriente4
I will be friendly, receptive, courteous, and respectful to everyone. I will be
about the needs and issues of all Denton citizens.
official
and care
3. As a representative of the City of Denton, I will be fiscally responsi 1e.
I wiil make prudent decisions, taking into account the long-term financial ne ds of ttie City and
its financial stabiiity. I will make decisions that seek to promote programs d servi s for City
residents.
4. As a representative af the City of Denton, I will be communicative.
I will communicate that I am approachable, open-minded and willing to enter into di og. I wiIl
listen carefully and my response will add value to the conversation.
5. As a representative of the City o#' Denton, I will be cooperative.
1 wili work toward consensus building and gain value from diverse opinions I wi approach
my position and relationships with a positive attitude. I will consider the br ader r ional and
statewide implications of decisions. I will work with the Universities, DIS , the C ambers of
Commerce, other governmental entities, and local nonprofit agencies and ot ers as artners on
common issues.
6. As a representative of the City of Denton, 1 wiEl be progressive and receptie to new
ideas.
I will promote intelligent and thoughtful innovation whenever possible. 1 will be sens tive to the
need for compromise, to think creatively, and improve existing models whe necess y. I will
keep my knowledge of local government current and growing.
7. As a representative of the City of Denton, I will not be delinquent in payi g monies
owed the City.
I will not be in arrears on any city taxes, utitity service charges, or other ob igation owed the
City.
Elected officials and appointed officials, boards and commissions must adhere
Texas statutes:
Civil Statutes
Open Meetings Act (Tex. Govt. Code. Ann. Ch. 551)
Public Information Act/Open Records Act (Tex. Govt. Code. Ann.
Conflicts of Interest (Tex. Loc. Govt. Code, Ch. 171, Ch. 212)
Official Misconduct (Tex. Penal Code, Ch. 36, Ch. 39)
Nepotism (Tex. Rev. Civ. Stat. Ann., arts. 5996a & 5996b)
Whistleblower Protection (Tex. Rev. Civ. Stat. Ann., art. 6552-16a)
the
552)
96
80
5: A.r DammWXesdhilioosMEWics Policy-Amndmau.DOC
Competitive Bidding and Procurement (espec. Tex. Loc. Govt. Code, qh. 252)
State Penal Laws
Bribery (Tex. Penal Code, § 36.02)
Coercion of Public Servant or Voter (Tex. Penal Code, § 36.03)
Improper Influence (Tex. Penal Code § 36.04)
Tampering with a Witness (Tex. Penal Code § 36.04)
Retaliation (Tex. Penal Code § 36.06)
Gifts to Public Officials (Tex. Penal Code § 36.08)
Offering Gift to Public Servant (Tex. Penal Code § 36.09)
Abuse of Office (Chapter 39)
Official Misconduct (Tex. Penal Code § 39.01)
Official Oppression (Tex. Penal Code § 39.02)
Misuse of Official Information (Tex. Penal Code § 39.03)
City Documents
In addition, the City of Denton Charter, the City Council Rules of
Code of Election Ethics are applicable.
utes and
The Ethics Policy is designed as a positive guide to the behavior and deco m of C uncil and
board members as they represent the citizens of Denton. 1 will voluntaril accept eprimand
from my colleagnes if I should act cantrary to this policy.
SECTION 2. This resolution shall become effective immediately up~n its p~sage and
approval.
PASSED AND APPROVED this the day of
(:~~c
EULINE BROCK, MA
ATTEST:
JEIVNIFER WALTERS, CITY SECRETARY
BY: ~ 1 A) Dt ftL-
APPR VED AS O LEGAL FORM:
EDW
BY:
9 t
Dover, DE.
~
8
DOVER CODE
ETHICS, CODE OF
Chapter 22
ARTICLE I
ETHICAL STANDARDS
22-1. Conflicts of interest.
22-2. Representation of private interests before city agencies.
22-3. Representation of private interests in litigation.
22-4. Required disclosure by Council members.
22-5. Required disclosure by officers and employees.
22-6. Gifts.
22-7. Disclosure of confidential information.
22-8. Investments in conflict with ofricial duties.
22-9. Incompatible employment.
22-10. Future employment.
ARTICLE II
WORD USAGE
22-11. Definitions.
ARTICLE III
DISCIPLINARY ACTION
22-12. Suspension or removal from office.
ARTICLE IV
BOARD OF ETHICS; COMPLAINT PROCEDURE;
22-13. Board established.
22-14. Procedures.
22-15. Advisory opinions.
22-16. Filing of complaint.
22-17. Review by The Board of Ethics.
22-1
- g3
ETHICS, CODE OF
22-1 22-2
22-18. Complaints without substance.
22-19. Report of the Board.
22-20. Hearings; referral to Council.
22-21. Statement of findings.
22-22. Public release of findings of innocence of wrongdoing.
22-23. Sanctions.
ETHICS, CODE OF
GENERAL REFERENCES
ARTICLE I
ETHICAL STANDARDS
22-1. Conflicts of interest.
No elective or appointive officer or employee of the city, whether paid c
take part in a decision concerning the business of this city, or engage in
transaction, in which they or a member of their family, directly or indire
financial interest, aside from his/her salary as such officer or employee,,
other citizen or taxpayer, nor shall they have any financial or other priva
directly or indirectly, which is in conflict with the proper discharge of tt
duties. (Reference: Article X, Dover City Charter)
22-2. Representation of private interests before city agencies.
No Councilor or other officer, whether elected or appointed, or employe
paid in whole or in part from the city treasury shall appear in behalf of p
before any city board. Councilors, however, may appear without compe
of constituents or in the performance of public or civic obligations. Thi;
prohibit appearances upon matters only incidentally requiring official ac
develop into a substantial part of the employment, provided that the reta
purpose of appearing before the agency, and provided, further that the ci
whole or in part, is not contingent or dependent upon the action of such
22-2
ly,
is
shall
ess, or
any
is
n behalf
> shall not
h' h do not
n t for the
s ion, in
- 84
DOVER CODE
22-3
22-3. Representation of private interests in litigation.
No Councilor or officer, whether elected or appointed, or employee whi
in whole or in part, from the city treasury shall represent private interesl
proceeding against the interests of the city in any litigation to which the
22-4. Required disclosure by Council members.
A Councilor who has, or a Councilor with a family member who has a,
financial or other private interest, in any proposed legislation shall pub
the official records of the Council, the nature and extent of such interes
shall be made orally prior to the legislation being discussed as part of a
agenda, or a Councilor may elect to file a written specific or general co
disclosure statement with the City Clerk. (Appendix A& B)
22-5. Required disclosure by officers and employees.
An officer, whether elected or appointed, or employee who, whether p
a direct or indirect financial interest or other private interest in any legi
participates in discussion before or gives official opinion to the Counci
disclose on the official record the nature and extent of such interest. Su
shall be made orally prior to the legislation being discussed as part of a
agenda, or the officer or employee may elect to file a written specific o
of interest disclosure statement with the City Clerk. (Appendix A& B)
22-6. Gifts.
No Councilor, other officer, or employee, whether elected or appointf
shall accept any valuable gift, whether in the form of service, loan, th
any other form from any person, firm or corporation which to his kno
directly or indirectly, in any manner whatsoever in business dealings
22-7. Disclosure of confidential information.
No Councilor or other officer, whether elected or appointed, or e.
or unpaid, shall intentionally disclose confidential information co
government or affairs of the city.
22-3
in any
itv is a
rect or
ly disc
Such c
22-7
is paid,
ction or
se, on
flict of ihterest
id or un aid, has
ation a who
shall p licly
h disclo ures
;ouncil eeting
general ~onflict
paid or npaid,
or pro ise or
;dge is ' tereste
h the ci .
whet r paid
u the n nertv,
8 5
ETHICS, CODE OF
22-8
22-8. Investments in conflict with official duties.
No Councilor or other officer, whether elected or appointed, or emplo,
or unpaid, shall invest or hold any investment, directly or indirectly in
business, commercial, or other private transaction which creates a con
official duties.
22-9. Incompatible employment.
No Councilor or other officer, whether elected or appointed, or empl
or unpaid, shall engage in or accept private employment or render or
goods from private interests which such employment or service is inc
proper discharge of their official duties.
22-10. Future employment.
No Councilor or other officer, whether elected or appointed, or employe
or unpaid, shall solicit, negotiate for or promise to accept employment t
firm or corporation with which they are or their agency is engaged on b
the transaction of business or which is or may be affected by their offici
connection with this prohibition, no elected official may assume emplo}
city until one (1) year after leaving office.
ARTICLE II
WORD USAGE
22-11. Definitions.
As used in this chapter, the following terms shall have the meanings
EMPLOYEE - Includes all positions over which the City
appointment.
OFFICER - Includes all positions appointed by the Mayor and
Manager, including appointment to the Housing Authority.
22-4
with
any p
alf of
22-11
paid
-r paid
or
rith the
paid
; city in
In
the
r has p wer of
>uncil o the City
1 86
DOVER CODE
22-12 22-16
ARTICLE III
DISCIPLINARY ACTION
22-12. Suspension or removal from office.
Any violation of any of the provisions of the foregoing shall constitute
suspension or removal from office or employment as provided by law.
ARTICLE IV
BOARD OF ETHICS; COMPLAINT PROCEDURE; PENAL
22-13. Board established. [Amended 2-18-98 by Ord. No. 01-981
There is hereby created and established a Board of Ethics. This Board s all con
five (5) members of the public who shall be appointed by the Council. ffectivE
5, 1998, the Council Shall appoint three (3) members for* a three (3) ye r term,
members for a two (2) year term. All terms shall expire on December 3, 2000,
December 31, 2001. The chairman of the Ethics Board shall be selecte by the
Nothing contained herein shall prohibit a member from serving more th n one (
22-14. Procedures.
The members of the Board of Ethics shall elect one of the public memb rs as
They shall adopt such rules for the conduct of their business as they see rt; st
authority to request legal assistance directly from the city attorney, or w en it
be in the best interests of the city, shall be empowered to seek outside le al a:
and they shall have the power to draw upon the various city department for r
information and for stenographic and clerical help. They shall have all s bpoe
as may be available to them under state law.
22-15. Advisory opinions.
Upon the written request of the councilor, officer or employee concerne , the Bc
render advisory opinions based upon the provisions of this code. The B ard sha
advisory opinions with the City Clerk, but may delete the name of the o icer or
employee involved.
22-16. Filing of complaint.
Any individual having information that any city official, elected or appo
employee, is engaged in improper activities or has a conflict of interest
complaint to the Chair of the Board of Ethics.
22-5
of
(2)
term.
the
to
and
rd shall
file its
their
87
ETHICS, CODE OF
22-17
22-17. Review by the Board of Ethics.
Said complaint shall be in writing, under oath, specific and to the point.
Board of Ethics shall convene a non-public meeting of the Board within
days for the purpose of determining if the written complaint has sufficie
warrant a hearing or further investigation.
22-18. Complaints without substance. [Amended 11-17-99 by Ord. No. 15-991
If the Board determines that the complaint is without substance, and
action, the person making the complaint and the subject of the comp.
notified, in writing, of that finding. The Board shall also provide writ
the City Council that a complaint was filed, and that it was without n
notification to the City Council shall be made public, however, other
complaints, including name of individual, shall remain confidential.
22-19. Report of the Board.
22-22
The Ch ir of the
fourtee (14)
it merit o
shall
. The
ails of
to
If the Board finds the complaint to have sufficient merit to warrant a he ring or rther
investigation, it shall have thirty (30) days from the date of such a fmd' to inv stigate,
hold meetings, hold a hearing, and file a written report to the City Coun il as a hole of
its findings.
22-20. Hearings; referral to CounciL [Amended 2-18-98 by Ord.lvo. 01-98]
If the Board determines by a majority vote that the complaints appear to have m rit, they
shall hold a hearing, which may be public or private, at the discretion of he Boa d
excepting that the person against whom the complaint has been made m y reque t a
public hearing. If the Board, after such hearing, finds that the individua is in vi lation of
the provisions of this Chapter, the matter shall be referred to the Dover I'lity Co cil who
shall order sanctions as they may deem appropriate pursuant to the prov sions o Section
22-23 of this Chapter.
22-21. Statement of findings.
The statements of the findings of the Board shall be issued upon the req~est of a~y person
charged.
22-22. Public release of findings of innocence of wrongdoing.
In cases where the Board reports to the Council that the person accused as eng ed in no
wrong doing, the Council will publicly affirm the finding of the Board a d clear he
person accused. 22-6 11
8g
DOVER CODE
22-23 22-23
22-23. Sanctions.
When the Board of Ethics, after following the provisions of this chapter, makes
that a member of the City Council or any officer or employee of the city has eng
improper activities or has a conflict of interest, the Council shall impose sanctio
shall deem appropriate which may include, but not be limited to the foll wing:
A. Authorize the City Attorney or any other attorney approved by 1
prosecute violations of this Chapter in the Dover District Court.
any violation of this chapter, upon conviction, shall be as provic
IV (a), and/or
B. In the case of City Council members and their appointees:
(1) Vote to reyuest the resignation of the offending member.
(2) Vote to publicly censure the offending member.
(3) Place the matter on file.
(4) Or impose any other sanction that they shall deem approl
C. In the case of all other officers and employees, the Council shall
findings to the City Manager who shall take appropriate action.
22-7
City
m
finding
tged in
s as they
ouncil to
1ty for
k 651.1
- 89
ETHICS, CODE OF
(APPENDIX A)
CITY OF DOVER
NAME
CONFLICT OF INTEREST STATEMENT (SPECIFIC)
POSITION
LEGISLATIVE OR OTHER ISSUE
I WILL NOT PARTICIPATE
SIGNATURE
IF YOU HAVE CHOSEN NOT TO PARTICIPATE, NO OTHER INFO TIO IS
NECESSARY.
I WILL PARTICIPATE.
Public or private entities affected:
Nature of benefit to elective or appointive officer or employee:
Nature of financial interest in the issue:
Nature of relationship between elective or appointive officer of
Additional Information:
SIGNATURE
90
DOVER CODE
(APPENDIX B)
CITY OF DOVER
CONFLICT OF INTEREST STATEMENT (GENERAL)I
DECLARATION OF CONFLICT OR POSSIBLE CONFLICT OF
Pursuant to the provisions and intent of Chapter 22 of the Ordinances of t~e City Dover
regarding disclosure of certain interests, I hereby make the following decla ation:
Please describe below the nature and extent of any conflict or possi le contl t of
interest which you or members of your immediate family may have n conn ctiot
with the carrying out your duties as an elective or appointive officer or emp oyee
of the City of Dover.
Date: Signature
Position
91
ETHICS, CODE OF
(APPENDIX C)
CITY OF DOVER
COMPLAINT FORM
BOARD OF ETHICS, CITY OF DOVER, NEW HAMPSHII
Please complete this form legibly and in as much detail as possible. Additional
added.
Your Name
E
pages
be
Address
Phone (h) (w)
Person(s) against whom this complaint is made:
(department/office)
(department/office)
Description of the complaint in detaiL•
(Use more paper and attach, if necessary.)
With my signature, I declare that the statements made above are accurate and tr
of my knowledge.
thful to
he best
(Signature) (Date)
Completed forms will be sealed and forwarded to the Chair of the Board of Et6ics. Infor
herein will be treated as confidential. If, for reasons of confidentiality, this complaint is n
City Clerk, it may be sent directly to: CHAIRPERSON, BOARD OF ETHICS, 288 CE
DOVER, NH 03820.
~ 99
ation co
t tiled w
RAL A
tained
h the
NUE,
Leander, TX.
93
ORDINANCE NO. 01-008-00
AN ORDINANCE ESTABLISHING AN ETHICS POLICY FOR
OF LEANDER; PROVIDING STATEMENTS OF POLICY AND
PROVIDING DEFINITIONS AND FOR CONFLICTS OF Il
PROVIDING MINIMUM STANDARDS OF CONDUCT WITH
TO CERTAIN GIFTS, FINANCIAL INTERESTS, POLITICAL.
AND CITY BUSINESS; REQUIRING REGISTRATION BY LC
REQUIRING FINANCIAL DISCLOSURE; PROVIDING l
ETHICS COMMISSION AND LEGAL COUNSEL; PROVII
COMPLAINTS AND BASELESS COMPLAINTS; PROVID
HEARINGS, FINDINGS, RECOMMENDATIONS AND SA
PROVIDING A PENALTY CLAUSE; PROVIDING OPEN MEE
EFFECTIVE DATE CLAUSES; AND PROVIDING FOR
MATTERS.
Whereas, Article 12 of the City Charter requires an Ethics Commission be e:
City Council shall adopt an ordinance providing an ethics policy and code of
the officers, employees, board and commission members of the City; and
R T E
TG F R
G F R
'TIO S;
NG A D
that the
-able to
Whereas, the City Council appointed an Ethics Commission and requested the thics C mmission
to draft and propose an ordinance providing an ethics policy and code of cond ct for ttie officers,
employees and certain persons doing business with the City;
NOW, THEREFORE, BE IT ORDAINED BY THE CITY COUNCIL O THE ITY OF
LEANDER, TEXAS, THAT:
Article 1. Declaration of Policy.
Section 1.1. It is essential in a democratic system that the public have confide ce in integrity,
independence, and impartiality of those who act on their behalf in gove ent. T promote
confidence in the government of the City of Leander ("the City"), and thereby enhanc the City's
ability to function effectively, this code of ethics is adopted. Although codes o ethics c provide
instruction on what to do in various situations, the situations will always be m re vari d than the
rules can anticipate. Recognizing this, the Ethics Commission (the "Commissi n") wil apply this
ordinance to not only enforce regulations, but also to enhance and promote virtu in pub c servants
who are its officers, city officials or employees, paid or unpaid, elected or ap ointed, as well as
members of any standing committee or board.
Section 1.2. Furthermore, it is declared to be the policy of the City that p oper o eration of
democratic government requires that public servants be independent, impartial and res onsible to
the people of the City; that no public servants shall permit any interest, fin cial or therwise,
direct or indirect, or engagement in any business, transaction or professional ctivity o conflict
with the proper discharge of their duties in the public interest; that public of ce not Ped sed for
illegal or improper personal gain; and that the city council at all times shall e main as a
94
nonpartisan body. To implement such a policy, the city council deems it a visable o enact a
standard of conduct for all public servants to serve not only as a guide for offici condu t, but also
as a basis for discipline for those who refuse to abide by its terms. The overri ing int est being
that public servants of the City of Leander shall at all times strive to avoid eve the ap arance of
impropriety.
Section 1.3. The City further recognizes that public servants are also memb rs of s ciety and,
therefore, cannot and should not be without any personal and economic interest i the de isions and
policies of government; that public servants retain their rights as citizens to int rests o personal
or economic nature, and their rights to publicly express their views on matter of gen ral public
interest. By prohibiting conduct incompatible with the City's best interests and inimiz g the risk
of any appearance of impropriety, this Code of Ethics will further legitimi e the i terests of
democracy.
Article 2. Purpose.
Section 2.1. This Code of Ethics has four purposes:
(a) to encourage high ethical standards in official conduct by
(b) to establish minimum guidelines for ethical standards of conduc for all ch public
servants by setting forth those acts or actions that are incompatible with the b st inte sts of the
City;
(c) to require disclosure by public servants and candidates of p~ivate ftancial or
property interests in matters affecting the City; and
(d) to provide minimum standards of ethical conduct for the Ci 's publi servants;
provide procedures regarding complaints for violations of such standards, and pr vide a echanism
for disciplining violators of such standards.
Article 3. Present Public Servants.
Section 3.1. Standards of Conduct.
(a) To avoid the appearance and risk of impropriety, public servant shall n t solicit or
accept any gift, personal favor or benefit from any person doing business ith, see 'ng to do
business with, or being regulated by the City; and shall not take any actio on be alf of any
person or business entity from which he or she has received a prohibited gift, o in whi he or she
has a substantial interest. Except in the sole interest of the public and the perfo ance the duties
of their position, public servants shall not take any action that he or she know might easonably
tend to influence any other public servant to not properly perform their official duty, n shall any
public servant grant any improper favor, service or thing of value to any pers n.
(b) As used in this Ordinance the word "Gift" means a favor, ho prtality economic
benefit, product or item having a value of $250.00, or more within a 12 mont perio A"Gift"
2
1 95
does not include campaign contributions reported as required by state law,
benefits received from a relative if given on account of kinship, or any valu
intestate succession, or as a distribution from an inter vivos or testamentary t
spouse or ancestor.
(c) The following factors are considered in evaluating whether a
(i) The value of the gift, or gifts, does not exceed $250.00,
(12) consecutive calendar months;
(ii) Any pre-existing relationship between the donor and
(iii) Whether the benefit of the gift is transferred to the
servant and whether any consideration is given in exc
money items, or
receiv by will,
A estab shed by a
is
twelve
or to he public
for gift; and
(iv) Whether the person or entity giving the gift, or on w
se beh
lf the gift
is made, has done business with or has been regu
ated b
the City
within the immediate preceding twenty-four (24) cale
dar m
ths, or is
seeking to do business with the City, or does business
ith or i
regulated
by the City during the subsequent twelve (12) months.
(d) Those items or services that do not constitute prohibited gifts i~clude, Iut are not
limited to, the following:
(i) Political contributions made and reported in accordance rth all
state laws.
(ii) Awards publicly presented in recognition of public
(iii) Entertainment, meals or refreshments furnished in conj nction 'th public
events, appearances, or ceremonies related to officia City b siness, if
furnished by the sponsor of such public event, and meal and re eshments
having a value of less than $50.00 when furnished or pro ided t he public
servant during the conduct of public business.
(iv) Any item received by a public servant and donate to a haritable
organization or presented to the City within one (1) bus ness d from the
date of receipt; any item(s) other than money the value of whicli does not
exceed $25.00 or $200.00 during any twelve (12) co secutiv calendar
months.
(v) Pens, pencils, calendars, T-shirts, caps and similar itf
slogans, company names or other marketing material
out for advertising purposes.
Section 3.2. Personal Financial Interest.
3
logos,
given
96
(a) Public servants of the City shall not participate in a vote or deci
have a direct substantial financial interest. Ownership in an amount in excess o
of an entity or property shall constitute substantial interest. Where members
have a substantial interest in business or in real property which is affected t
council action and where any conflict of interest may arise they shall file an affi
provided by the city secretary prior to the vote and abstain from voting on suc
;ion in
one
f the
- an
ich they
;nt (1
council
sed city
(b) No officer or employee of the City shall have a financial interes
direct
or by reason of ownership of stock in a corporation, in a contract with the Ci
, or be
interested direetly or indirectly in the sale to the City of land, materials, supplie
or ser
on behalf of the City as an officer or employee; provided, however, that th
provi;
section shall only be applicable when the stock owned by the officer or employe
excee,
percent of the total capital stock of the corporation. Any violation of this shall
ender i
voidable.
Section 3.3. Confidential Information. Public servants shall not disclo e cont
proprietary information, or any information they have acquired or obtained i the coi
fiduciary capacity or relationship, that could adversely influence the prope , gove
affairs of the City, nor directly or indirectly use his or her position to secure o ficial i:
about any person or entity, for the financial benefit or gain of such public serv or any
Public servants shall not release confidential, proprietary or privileged informat on for E
other than the performance of official responsibilities. It shall be a defense to y comf
this section that the release of information serves a legitimate public purpose, as opp
private financial or political interest of the public servant or any third party or group.
indirect,
nancially
esexcept
~n of this
one (1
; contract
tial or
of any
,nt, or
rd party.
purpose
nt under
d to the
Section 3.4 Use of City Property. Public servants shall not use, request or pe it the se of city
facilities, personnel, equipment, or supplies for any purpose other than to co duct ci business
unless otherwise provided by law, ordinance or written city policy; or as specifi ally au orized by
the city manager as a convenience to the city, or by terms of employment, e.g. a igned iu. e of a city
vehicle.
Section 3.5. Conflict of Interest.
(a) Public servants shall not for pay, profit, compensation, finan<
represent or appear on behalf of themselves or on behalf of the private interests
city council or other city board, commission, or committee, ar represent the
others in any action or proceeding involving the city.
(b) No current members of the city council shall personally appear 1
before the city council or any board, commission or committee but may
represented by a person of their choice in any such personal business matter. T]
not apply where council members appear before the Ethics Commission on tl
member of any appointed committee or board shall remove himself/herseli
regazding his/her interest.
4
benefit
fore the
:rest of
n their wn behalf
design e and be
is prohi ition does
eir own ehalf. A
from d liberation
97
(c) No current board or commission member shall personally ap ear on heir own
behalf before the board or commission upon which they serve, but may design e and be
represented by a person of their choice in any such business matter. Board or co issio members
are prohibited from engaging in private discussions with any applicant or owner egardi issues to
be considered by their board or commission or from seeking to influence t e outco e of any
decision outside of a public meeting. 1 r
Section 3.6. Additional Standards of Conduct.
(a) Conflicting Outside Employment
(i) The purpose of this provision is to prevent conflicts of i~terest, Inflicts of
loyalty, and loss of efficiency at work.
(ii) This provision does not prevent employees or officials frm acce ting other
employment or following any pursuit which in no way nterfer with the
full and faithful discharge of their public duties, rovide that the
employees comply with all applicable City requirement .
(iii) A city official or paid city employee shall not solicit, a cept or engage in
concurrent outside employment or enter into any co ract w ich could
impair independence of judgment in, or the faithful pe ormanof, their
official duties, or that results in a conflict of interest wit their ties as an
official or employee of the City.
(iv) City employees must inform their supervisor before en aging off-duty
employment. City employees must consider the policy p ose Id must be
aware of the policy and general rule as stated above.
(b) Political Activity
(i) Limitations on the political activities of city officials d em oyees are
imposed by State law, the City Charter, and City p sonnel rIn
addition, the following ethical restrictions apply. 7 (ii) No employee shall solicit or receive contributions to the ampai funds of
any candidate for city office or take part in the mana ement, ffairs, or
political campaign of any city candidate. Current m mbers f the city
council who are seeking re-election may engage in any a tivity o behalf of
their own campaign efforts. The following is a list of activiti s that are,
except as specifically provided otherwise, permissib e withi the sole
discretion of the individual employees.
(A) The placement of campaign signs on premises owned ty the city
employee.
5
98
(B) The placement of bumper stickers on persona vehicl s, except
those vehicles supported in whole or in part b a car llowance
provided by the City.
(C) Off-duty or assigned duty attendance at a politic 1 rally function
for a city council candidate, so long as t ere is o active
participation by the city employee; provided that empl yee that is
off-duty shall not wear any city uniform, ite or cl ing that
identifies the employee as an employee of the C ty.
(D) The donation of a political contribution that d es not ceed the
statutory limit for non-reportable contribution ; provi ed that a
candidate for, and the occupant of, an elect ve ci office is
prohibited from soliciting contributions from ci empl ees.
This Section 3.6(b)(ii) shall be narrowly construed and i
no eve
shall this
Section be construed or interpreted to prevent any
fficer,
mployee,
councilmember, mayor or public servant from expressing
his or h
r personal
opinion regarding any candidate for office, or any oth
r matte
of public
interest; provided that city employees shall not, while in
'form
r on duty,
make public comments or statements concerning any c
didate
r elective
city office. Private statements or comments made
y any
fficer or
employee of the city to any other officer or employee of
e city
ncerning
any candidate for elective city office are not subject to t
is Sect
on 3.6.
(iii) Other Interests
(A) Non-profit board membership: While members
ip is en
ouraged a
council member who serves on the board of a pu
lic or p
vate non-
profit organization shall have a voice but no v
te on axi
y funding
request or contract with the City by that organ
zation,
less the
organization has a board of directors or trustees
ppoint
in whole
or in part by the city council, commission or bo
d me
ers.
Article 4. Former City Officials and Employees
Section 4.1. Continuing Confidentiality.
(a) A former public servant shall not use or disclose confid ntia
information acquired during service as a public servant, as provided in Sectio 3.3.
prohibit:
(i) any disclosure that is no longer confidential by law; or
(ii) the confidential reporting of illegal or unethical
designated by law, or
to
does not
ities
6
. 99
(iii) as required by court order or appropriate agency.
Section 4.2. Subsequent Representation.
(a) Representation by a Former Member of a City Body. For t
section, "City Body" is intended to be the city council or any commission or b
city council. A person who was a member of any City Body shall not repre:
compensation, financial gain or benefit, any person, group or entity, other than
ef his or her immediate family members, or the City, for a period of two
termination of his or her official duties, except by permission of the city coun
(i) before that body;
(ii) before city staff having responsibility for making i
taking any action on behalf of, that body, unless the
advisory in nature; or
(iii) before any other City Body, or any state or federal agthat has appellate jurisdiction over the body of which
served, if any issue relates to his or her former duties.
(b) Representation Before a City Body.
>urp se of this
l cre ed by the
for y, profit,
self,,ff herself,
vear after the
in
> to, or
is only
or entrty
member
(i) A former paid city employee shall not represent for ompen ation any
person, group or entity, other than himself or hers lf, or is or her
immediate family members, before any City Body for period f one (1)
year after termination of his or her official duties, exce by pe ission of
the city council.
(ii) In connection with the representation of private intere s befor any City
Body, a former public servant shall not state or imply th t he or he is able
to influence city action on any basis other than the meri s.
(c) Representation in Litigation Adverse to the City.
(i) A former city public servant shall not, absent cons
t fro
the City,
represent any person, group, or entity, other than himsel
or hers
f, or his or
her spouse or minor children, in any litigation to which
the Citi,
is a party
for a period of ten (10) years following the termination o
his or
er official
duties, if the interests of that person, group or entity
e adv
rse to the
interests of the City and the matter is one in which the fo
er pu
ic servant
personally and substantially participated prior to termi
ation o
his or her
official duties.
Article 5. Contracts
7
100
Section 5.1. No officer or employee of the City shall have a financial intere:
or by reason of ownership of stock in any corporation, in a contract with the Cil
interested directly or indirectly in the sale to the City of land, materials, supplie
on behalf of the City as an officer or employee; provided, however, that if th
interest results from the ownership of stock the provision of this section shall
when the stock owned by the officer or employee exceeds one (1) percent of thi
of the corporation. Any violation of this section shall render the contract voic
shall not apply or be applicable to employment agreements approved by the city
city council.
Section 5.2. Except on behalf of the City, a former city council member, of
may not, within two (2) years of the termination of official duties, perform wor
entity other than the City on a compensated basis relating to a discretionary cc
personally and substantially participated in the negotiation of awarding of the c
city official or employee, within two (2) years of termination of official duties n
city secretary immediately upon knowing that he or she will perform work on a
relating to a discretionary contract.
Article 6. Persons Doing Business With the City
Section 6.1. Persons Seeking Discretionary Contracts.
(a) For the purpose of assisting the City in the enforcement of p
this Code of Ethics, an individual or business entity seeking a discretionary
is required to disclose in connection with a proposal for a discretionary c,
interest. This is set forth in Articles 3 and 4 of this Code of Ethics. Fur
business entity agree to abide by the same ethical standards as set forth for
Code of Ethics.
(c) Section 6.1 of this Code of Ethics will become a permanent
contained in City bid packets for discretionary contracts.
direct Or indirect,
or be
nancially
or serv'
es except
direct
r indirect
)nly be
pplicable
total c
ital stock
ible. T
is section
nanaiaie
d/or the
tor anperson or
tract, i he or she
~ntract. A former
xst dis ose to the
)mpen ated basis
ions c tained in
•act fro the City
ct any onflict of
the in 'vidual or
ic serv ts in this
on
Section 6.2. Disclosure of Conflicts of Interest by Persons Appearing Befo e a Bo d or City
Body. A person appearing befare any city board or other city body for the purpos of doing
business with the City shall disclose to that board or body any facts known to uch pe on which
may show or establish that:
(a) an employee or officer of the city that advises or makes presentat~ons to Te board or
city body; or
(b) any member of the board or city body;
has or may have a conflict of interest pursuant to Chapt. 171, Tex. Loc. Gov't. ode, or interest
which would violate the ethical standards set forth in this Ordinance, if he or sh were to articipate
in the processing or consideration of the subject matter.
101
Article 7. Lobbyist
Section 7.1. Purpose. For the purpose of minimizing the risk of improper
same time recognizing that not all forms of lobbying are improper, the folloN
Section 7.2. Registration Requirements.
(a) Lobbying, except as provided below, means any oral or writt
(including an electronic communication) to a city official, made directly or indi
working for pay or profit for any third party in an effort to influence or persuad
or oppose, recommend or not recommend, vote for or against, or take or refra
action on any municipal question. A lobbyist is an individual or group of in
compensation, work to influence the opinions of any city body or its membe
interests of another individual, group, business, group of businesses, pol
organization.
(b) The term lobbying does not include a communication:
)ying, hile at the
rules adopted.
r ctly by y person
e offic to favor
n from taking any
ividual who, for
r in sup ort of the
i ical or apolitical
(i) merely requesting information or inquiring about the fa ts or s
municipal question, matter or procedure, and not attem ing to
city official;
(ii) made by a public official or employee (including, but ot lim
employee of the City) acting in his or her official capac ty;
(iii) made by a representative of a media organization if
communication is gathering and disseminating news an
public;
(iv) made in a speech, article, publication, or other rr
and made available to the public, or through
television, or any other medium of mass commw
(v) made at a meeting open to the public under the Open N
(vi) made in the form of a written comment filed in the
proceeding of any other communication that is made on
to established city procedures;
(vii)
that is
us of any
fluence a
d to, any
se of the
ion to the
stributed
m, cable
a public
pursuant
made in writing as a request or petition for official actio and
a public record pursuant to established city procedures;
(viii) made in writing to provide information in response to
request by a city official for specific information;
(ix) the content of which is compelled by law;
9
ired to be
an oral ~r written
. inr
(x) made in response to a public notice soliciting commu ication from the
public and directed to the official specifically designat d in th notice to
receive such communications;
(xi) made on behalf of an individual with regard to that indivi~ual's
or benefits;
(xii) made by a fact witness or expert witness at an official p~oceedi#g; or
use, or
o
(xiii) made by a person solely on behalf of himself or herself, ~s or heir
his or her immediate family;
(xiv) made by an employee or representative of an econ ic de elopment
prospect and potential future employer within the City, which rospect is
not at the time of the contact located within the City; or
(xv) a licensed attorney or engineer employed to assist or ai e any p rson with
respect to a matter in which the City is exercising its re ulatory authority,
and which representation is a matter of public record.
(c) No person shall engage in lobbying without registering as a lob yist wit the City.-
A person engaged to lobby, including any employee of a third party that is as igned e duty of
lobbying, within the City shall register as a lobbyist no later than three (3) days a er first ontacting
any public servant or employee regarding the subject matter for which such pe son is gaged or
assigned to lobby the City.
(d) The lobbyist must file a separate registration for each client r who they are
lobbying; provided that a lobbyist that has a current registration on file with the Ci may add
additional clients to such registration by filing an updated list of such clients o be a ed to the
registration.
Article 8. Financial Disclosure
Section 8.1. Disclosure Deadlines for City Officials and Candidates.
(a) Existing City Officials. "City official" means the mayor, every
council, the city manager, the city attorney, the city secretary, the directo
community development (if any), the director of public works (if any), the dir
any), the city engineer, and persons acting in the capacity of the aforemej
employees. No later than April 30th of each year, or thirty (30) calendar days ~
requirement is mailed by the City Secretary, whichever date is later, each city
sworn financial disclosure statement with the city secretary in a form prepared 1
reflecting the financial situation of the city official as of December 31 St of the
10
ember
f the city
of pl
ing and
;tor of
mance (if
oned
fficers or
ter not
e of such
T
fficial
liall file a
the ci~ secretary
•eviou year.
1 103
(b) New City Officials. A newly employed, elected, or appointed ci official hall file a
sworn financial disclosure statement with the city secretary in a form prepared b the ci secretary
within thirty (30) days from the date the position with the City is assumed. S id state ent shall
reflect the financial situation as of the date of employment, election, or appoi tment d for the
previous twelve months, provided, however, such city official shall not be req ired to nclude in
such statement the requirements of paxagraphs 8.2(a)(vii) of this section.
(c) Candidates. Each candidate shall file a sworn financial disclosure stateme t with the
city secretary within fifteen (15) days of fling for office, reflecting the fnanc al situa on of the
candidate as of December 31 St of the year previous to the election date.
Section 8.2. Use of Financial Disclosure Reporting Form.
(a) Each person required to file a financial disclosure statement sh~l do so rn a form
supplied by the City which shall include the following information:
(i) The person's name, residence address, business address if any), elephone
number, name of all immediate family members, i.e., husbanor wife,
children, father, mother,.brothers or sisters, and all n es or t' les under
which the person or family member does business.
(ii) Identification by street address and legal description o all re properly
located within the City or its extraterritorial jurisdiction i which he person
has a substantial interest.
(iii) Identification of each business entity owning property r doin business
within the City or its extraterritorial jurisdiction in whic the p son has a
substantial interest.
(iv) Identification of each person or business entity to whom t
member owed a debt of ten thousand dollars ($10,000) (
reporting period, but not including debts owed to person:
second degree of consanguinity or affinity and excluding
campaign which were reported as required by law; if
reporting period, the date of repayment shall be stated.
(v) Identification of each source of income amounting to t
more of the person's or family member's gross annual inc
the United States Internal Revenue Code.
(vi) Identification of the donor of each gift of more than t
($200.00) in value received by the person or family mE
value of the gift, where such donor has appeared before
of the city council during the reporting period.
(vii) Identification of all individuals or business entities that:
11
e perso
or family
r more
uring the
related
ithin the
oans to
political
repaid
uring the
n (10)
ercent or
)me as 1.
1efined by
~ hundr
d dollars
ber, in
uding the
d reaue
ted action
' 10 `i
(A) he or she, or a business entity in which he or sh has a bstantial
interest has had business dealings involving one o more tr sactions
of five hundred dollars ($500.00) or more each q er, or or a total
of twenty-five hundred dollars ($2,500.00) or more 'thin the
immediately preceding 12-month period; and
(B) have appeared before and requested action of the ity co il during
the reporting period. 1 17
(viii) Identification shall also be required of all individu ls wh have an
ownership interest of twenty-five percent (25%) or more n a busi ess entity
as described in 8.2(a)(vii)(A) above and who appears b fore and requests
some action on the part of the city council, even though e actio 11 does not
concern such business entity.
Section 8.3. Retention of Financial Disclosure Statements. The city secre ary sh 1 log and
maintain all financial disclosure statements required to be filed herein as public records d retain
them for a period of three (3) years after which statements shall either be retu ed to e person
filing them or be destroyed.
Section 8.4. Immediate Public Identification by Public Servants.
(a) All public servants of the City shall immediately publicly identieither ~erbally at
an open meeting or in writing, all individuals or business entities that:
(i) he or she, or a business entity in which he or she has a ubstant 1 interest
which has had business dealings involving one or more t ansacti ns of five
hundred dollars ($500.00) or more each quarter, or for a t tal of t enty-five
hundred dollars ($2,500.00) or more within the imm diately receding
twelve (12) month period; and
(ii) have appeared before and requested action of the city ~ouncil ~uring the
reporting period.
(b) Such immediate identification shall also be required of all indivi uals w o have an
ownership interest of twenty-five percent (25%) or more in a business enti as d cribed in
8.4(a)(i) above and who appear and request action by the city council, even tho gh the tion does
not concern such business entity. Such identification shall be made prior o any cision or
determination of the matter or immediately upon discovery of such business d alings.
Section 8.5. Planning and Zoning Commission Members. Within thirty ( 0) day of being
appointed to the Planning and Zoning Commission and on each anniversary of that ate, each
member of such commission shall file with the city secretary a sworn state ent ide tifying by
street address and legal description all real property located within the City o its extr territorial
jurisdiction in which the member has a substantial interest.
12
105
Section 8.6. Disclosure by Persons Appearing Before a City Body. Any p rson wtio appears
before any city body who has had business dealings within the preceding twelve (12) m th period
involving one or more transactions of five hundred dollars ($500.00) or more e h quart r, or for a
total of twenty-five hundred dollars ($2,500.00) or more, within the precedin 12-mo th period
with a council member, commissioner, or business entity in which a c cil niember or
commissioner has a substantial interest, shall disclose such business dealings at the t e of the
appearance. Any person who shall intentionally or knowingly fail to make the a oresaid isclosure
shall be guilty of a misdemeanor and shall be fined in accordance with this Or inance
Article 9. Ethics Commission
Section 9.1. Establishment of an Ethics Commission. The Ethics Commiss on esta lished by
Section 12.01 of the City Charter shall be composed of seven (7) members, a11 o whom rl reside
in the City.
Section 9.2. Enumeration. Each Commission member shall be appointed by t e city uncil and
shall occupy a position on the Commission, such positions being numbered 1 hrough .
Section 9.3. Terms of Office. The Commission members shall be appoint d to t (2) year
staggered terms, except the Commission member appointed by the Mayor shal be app inted to a
three (3) year term. Positions 1, 3, and 5 shall be appointed in odd numbered ye s cons stent with
Section 5.02 of the City Charter provision for two (2) year terms, and positions , 4, an6 shall be
appointed in even numbered years consistent with Section 5.02 of the City Ch er for t o(2) year
terms. Position 7, the position on the Commission nominated by the Mayor, hall be ppointed
consistent with City Charter provision Section 5.02 for three (3) year terms.
Section 9.4. Vacancies. All vacancies shall be filled for the unexpired term. A membe~ shall hold
office until his successor has been appointed by the city council.
Section 9.5. Election of Chairperson and Vice-chairperson. The Commi sion sh 11 elect a
chairperson and a vice-chairperson to one (1) year terms. The vice-chairp rson s all act as
chairperson in the absence of the chairperson. In the event the chairperson o vice-c airperson
vacates their position then an election to fill the vacancy shall occur at the nex meetinji, when the
full board is seated.
Section 9.6. Quorum. Four (4) or more members of the Commission shall c nstitute quorum,
but no action of the Commission shall be of any force or effect unless it is adopt d by th favorable
vote of four (4) or more members.
Section 9.7. Annual Review of Ethics Ordinance. The Commission shall eet at
year to review this Ethics Ordinance and may make recommendations to t r city
amendments thereto.
Section 9.8. Advisory Opinions and Recommendations. The Commission sf
opinions and make recommendations to the city council on potential conf
violations of this Ethics Ordinance at the request of a public servant. Such ad`
recommendations shall be rendered thirty (30) days after a request or complair
13
is
of
3t once a
uncil for
advisory
terest or
tions and
-d by the
1 106
Commission, unless the Commission requests, and is granted one thirty (30) d exten on by the
city council. This Section 9.8 shall not be applicable to complaints filed with the Co ission.
Section 9.9. Defense to Alleged Violations. It shall be a defense to an alleg d violat on of this
Ethics Ordinance that the person accused previously requested, and received, aii adviso opinion
and recommendation from the Commission, and acted on such opinion or reco endati n in good
faith, unless material facts were omitted or misstated by the person requesting he opi on. Such
advisory opinion and recommendation shall also be binding on the Commissio in any bsequent
charges concerning the person who requested the opinion and recommendatio .
Section 9.10. Disposition of Alleged Ethics Violations.
(a) A sworn complaint based on personal knowledge alleging a iolatio s) of this
ordinance shall specify the provision(s) of this ordinance alleged to have been iolate and shall
name the public servant being charged.
(b) Upon the aforesaid sworn complaint of any person being led wit the city
secretary's office, ar on its own initiative, the Commission shall consider possib e violat ns of this
ordinance by any public servant. A complaint shall not be deemed to be filed n the i itiative of
the Commission, save and except the complaint be signed and sworn by two O mem ers of the
Commission, one of which is the chairperson of the Commission, after consult tion wit'i the legal
counsel of the Commission. A complaint filed by an individual member of the Commi sion shall
be deemed to have been filed in the Commission member's capacity as a private itizen d, in such
event, the member of the Commission filing the complaint shall not therea er parti ipate in a
Commission meeting at which such complaint is considered save and except he Co issioner
filing the complaint may participate as a complainant at such meeting.
(c) A complaint alleging a violation of this ordinance must be iled wi the city
secretary within two (2) years from the date of the action alleged as a violation, and not fterward.
(d) Not later than three (3) working days after the city secretary receiv a sworn
complaint, the city secretary shall acknowledge the receipt of the complaint to the compl 'nant, and
provide a copy of the complaint to the city attorney, the independent counsel, th Co ssion, and
the person against whom the complaint was alleged. Not later than ten (10) orking days after
receipt of a complaint, the Commission shall notify in writing the person who ade the omplaint
and the person against whom the complaint was alleged, of a date for a prelimi ary he 'ng. If the
Commission does not hold a preliminary hearing within twenty (20) days of rec 'pt of the
complaint, it shall notify the person who made the complaint of the reasons for the dela and shall
subsequently give him the appropriate notification.
(e) The Commission may consider possible violations of this or 'nance n its own
initiative. Within seven (7) working days of the Commission's decision to onsider possible
violation of this ordinance, the Commission shall draft a written compl 'nt spe fying the
provision(s) of this ordinance alleged to have been violated and shall file a opy w h the city
secretary, and provide a copy to the city attorney, the independent counsel, anthe per, n against
whom the complaint was alleged. Not later than fifteen (15) days after t e dra ng of the
14
. 107
complaint, the Commission shall notify in writing the person against whom
alleged of the date for the preliminary hearing.
(f) After a complaint has been filed, and during the pending of a cc
Commission, a member of the Commission may not communicate directly or
party or person about any issue of fact or law regarding the complaint, except
Commission; provided that the Chairperson may consult and coordinate with i
the Commission.
(g) As soon as reasonably possible, but in no event more than
receiving a complaint, the Commission shall conduct a preliminary hearing.
(i) The issue at a preliminary hearing shall be the existE
grounds to believe that a violation of this ordinance ]
person filing a complaint, or the independent counsel i
upon the Commission's own initiative, shall state the al:
shall describe in narrative form the testimony and oth
would be presented to prove the alleged violations st;
complaint. Statements at a preliminary hearing shall be L
shall be no cross-examination or requests for persons or
the hearing. Members of the Commission may questio
the independent counsel for the Commission, or the publ
the complaint.
was
plaint efore the
iirectl with any
a mee 'ng of the
legal ounsel of
(60) ays after
; of asonable
occ ed. The
cases
nsiaerea
;ed vi
ation and
evide
ce which
ed in t
e written
der oat
, but there
idence
'ssued for
the co
plainant,
serv
l
named in
(ii) The public servant named in the complaint shall have he
respond, but is not required to attend or make any state ei
servant may describe in narrative form the testimony and th(
would be presented to disprove the alleged violation. If the
agrees that a violation has occurred, he or she may so
Commission may consider the appropriate sanction.
(iii) The complainant and the public servant named in the co p]
the right to representation by counsel.
(iv) At the conclusion of the preliminary hearing, the Comm ssion
whether a final hearing should be held. If the Commissi n det
there are reasonable grounds to believe that a violation o this o
occurred, it shall schedule a final hearing. If the Co issi
determine that there are reasonable grounds to believe th t a vic
ordinance has occurred, the complaint shall be automati ally d
decision to conduct a final hearing is not a finding t at ai
occurred.
unity to
e public
;nce that
servant
and the
have
Lll decide
iines that
iance has
does not
on of this
[issed. A
ition has
(v) The Commission, at any time during the preliminary earing may also
dismiss a complaint if the complaint does not allege co duct w'ch would
be a violation of this ordinance. Before a complaint is di misse or failure
to allege a violation, the complainant shall be permitte one o portunity,
15
lOg
within ten (10) working days of such a preliminary he~ng, to tvise and
resubmit the complaint.
(h)
(i)
(vi) The complainant, the independent counsel, and public se ant n ed in the
complaint may ask the Commission at a preliminary earing request
certain persons and evidence for a final hearing, if one i sched ed.
Final Hearing.
(i) The final hearing shall be held as expeditiously as poss
ble foll
wing the
determination by the Commission that there are reas
nable gi
-ounds to
believe that a violation of this ordinance has occurred. I
no everi
t shall the
hearing be held more than thirty (30) days after said d
termin
tion. The
Commission may grant two (2) postponements, not to e
ceed
een (15)
days each, upon the request of the public servant named
in the c
mplaint.
(ii) The issue at a final hearing shall be whether a violation o
this or
nance has
occurred. The Commission shall make its determination
ased o
clear and
convincing evidence in the record. All witnesses shall m
e their
tatements
under oath.
(iii) If the Commission determines that a violation has occurr
d, it sh
11 state its
findings in writing, shall identify the particular provision(
) of thi
rdinance
which have been violated, and within five (S) working
ys shal
l. deliver a
copy of the findings to the complainant, if any, the publi
servan
named in
the complaint, and the city secretary.
(iv) If a complaint proceeds to a final hearing, the Commi sion m y request
witnesses to attend and testify, administer oaths and ffirma ons, take
evidence and request the production of books, papers record or other
evidence needed for the performance of the Commission' duties r exercise
of its powers, including its duties and powers of investi ation.
Sanctions.
(i) If the Commission determines that a violation of t is ordi ance has
occurred, it shall proceed directly to determination f the al)propriate
sanction(s), if any. Save and except for a violation of Se tion 3. b)(ii)(D),
Section 7.2 or Section 8.6 of this Ordinance, a violatio of this rdinance
shall not be subject to criminal penalties. The Commi sion y receive
additional testimony or statements before considering s ctions but is not
required to do so. If the public servant named in the omplai t acted in
reliance upon a written opinion of the city attorney, the Commi sion shall
consider that fact.
16
109
(ii) If the Commission determines that a violation of t is ordi ance has
occurred, it may recommend that the city council i pose o e of the
following sanctions:
(A) A letter of notification shall be the appropriate anction when the
violation is clearly unintentional, or when th public servant's
violation was made in reliance on a written o inion the city
attorney. A letter of notification shall advise th public ervant to
whom it is directed of any steps to be taken to avoi future iolations.
(B) A letter of admonition shall be the appropriate san tion in ose cases
in which the Commission finds that the violation i minor arid/or may
have been unintentional, but calls for a more su stantia response
than a letter of notification.
(C) A reprimand shall be the appropriate sanction whe the C mission
finds that a violation has been committed intent onally r through
disregard of this ordinance. A reprimand directe to a ci official,
council member, Commission member shall b sent t the city
council. A reprimand directed to an employee of the City s 11 be sent
to the city manager and included in said employee' perso el file. A
letter of reprimand directed to an elected city officia shall be
transmitted to the city secretary and shall be sent o the ci council,
and thereafter published in the official newspape of the ity.
(D) A recommendation of removal from e ployme t or a
recommendation of suspension from employm nt, as ell as a
recommendation for length of suspension, shall e the a propriate
sanction when the Commission finds that a s rious o repeated
violation(s) of this ordinance has been committd inten onally or
through culpable disregard of this ordinance by ity em loyees. A
recommendation of suspension of city employee shall directed
from the Commission to the city manager. In m st case the final
authority to carry out such recommendations to sus nd from
employment and the length of suspension shal be wi the city
manager.
(E) A letter of censure shall be the appropriate s ction when the
Commission finds that a serious or repeated v olation s) of this
ordinance has been committed intentionally or throug culpable
disregard of this ordinance by an elected city o icial. letter of
censure directed to an elected city official shall b transm ed to the
city secretary, and shall be sent to the city co cil, and thereafter
published in the official newspaper of the City.
Article 10. Independent Legal Counsel
17
, 1. 11 n
Section 10.1. Independent legal counsel shall be utilized to advise the Commis 'on and articipate
in hearings. The city council shall annually designate and retain independent co sel w lo shall be
a duly licensed attorney in the State of Texas.
Article 11. Baseless Complaints
Section 11.1. In the event a complaint is received by the Commission that is su sequent found to
be baseless, and the Commission deems that the complaint was filed with the ntent to
(a) harass the person named in the complaint; or
(b) damage the respondent's reputation; or
(c) benefit the person filing the complaint either personally, professiooally or
or
(d) damage a related third party.
Section 11.2. The Commission may recommend to the city council to take dis iplin action(s)
against the individual who filed the complaint including but not limited to filing legal ch ges. The
Commission may also make recommendations for what other action(s) should be take .
Article 12. General Provisions
Section 12.1. Definitions. The words "public servant" when used in this Ord nance, all mean
the elected officers of the City, all persons appointed by or by vote of the City C uncil, all
department heads of the City, all City employees that have any supervisory a hority ver other
employees, and all employees that have discretionary authority to make recomm ndatio to boards
or commissions of the City. Words used in the present tense include the future ense. ords used
in the plural number include the singular, and words in the singular include th plural. The word
"shall" is always mandatory. The word "herein" means in this Ordinance. The ord "r ulations"
means the provisions of any applicable ordinance, rule, regulation or policy.
Section 12.2. Penalties. Any person who shall violate Section 7.2 or S ction .6 of this
Ordinance, or shall fail to comply therewith, or with any of the requirement thereoi- , shall be
deemed guilty of an offense and shall be liable for a fine not to exceed the s of fi hundred
dollars ($500.00). Each day the violation exists shall constitute a separate off nse. S h penalty
shall be in addition to all the other remedies provided herein.
Section 12.3. Reservations and Exceptions. Notwithstanding any other term
Ordinance, this Ordinance: (a) is not applicable to the performance and be
employees and public servants that does not violate a standard or provisio
Ordinance; (b) does not waive the authority and discretion of the City Counci
standards for, or to supervise, provide oversight, appoint and remove, any of
public servant that is appointed by the City Council; and (c) does not transfer oi
18
~r provi ion of this
avior officers,
set f h in this
to enf ce higher
:icer, epioyee or
limit th authority
111
of the city manager to act in his or her discretion to enforce higher standards f
provide oversight, appoint and remove, all officers, employees and public serv,
are not appointed and removed by the Council.
Section 12.4. Effective Date. This Ordinance shall be in force and effect
passage on the date shown below.
Section 12.5. Open MeetinES. It is hereby officially found and determined th this
open to the public, and public notice of the time, place and purpose of said mee ing A
as required by the Open Meetings Act, Chapter 551, Texas Government Code.
ADOPTED on and final reading this the 21 st day of June, 2001.
Attest:
Lori Dissmore, City Secretary
19
, or to upervise,
ts of th City that
The City of
Larry Barnett,
after its
mg was
ven, all
1 11P,
Marysville, WA.
113
Marysville Municipal Code Ch. 2-80
Not an official copy.
Marysville, WA Municipal Code
Chapter 2.80 Code of Ethics
Sections:
2.80.010 - Declaration of policy.
2.80.020 - Use of public property.
2.80.030 - Obligations to citizens.
2.80.040 - Code of ethics.
2.80.045 - Confidentiality.
2.80.050 - Penalties.
2.80.060 - Board of ethics - Organization.
2.80.070 - Board of ethics - Powers and duties.
2.80.010 - Declaration of policy.
High moral and ethical standards among public officials and public employees are essenti
the confidence of the public because such confidence is essential to the conduct of free g
agents of the people and hold their positions for the benefit of the people. The proper ope
government requires of public officials and employees that they be independent and impa
policy and that their positions never be used for personal gain. A code of ethical conduct i
guidance of public officials where conflicts do occur as well as to prevent conflicts of inter
1972).
2.80.020 - Use of public property.
No official or employee shall request or permit the use of city owned vehicles, equipment,
personal convenience or profit, except when such services are available to the public gen
city policy for the use of such official or employee in the conduct of official business. (Ord.
2.80.030 - Obligations to citizens.
No official or employee shall grant, nor shall any citizen attempt to obtain, any special cor
advantage beyond that which is available to every other citizen. (Ord. 770 § 2(b), 1972).
2.80.040 - Code of ethics.
The purpose of the code of ethics is to assist city officials and employees to establish g~
own conduct. The code is also intended to help develop traditions of responsible public
employee shall engage in any act which is in conflict with the performance of his official
employee shall be deemed to have conflict of interest if he:
(1) Receives or has any financial interest in any sale to or by the city of any service or pro
financial interest was received with the prior knowledge that the city intended to purchase
such service;
http://icma.org/upload/library/IQ/117607.htm . 114
Page 1 of 4
to
and maintain
it. They are
>n of emocratic
whe establishing
;ces ry for the
(Ord. 770 § 1,
or property for
re provided as
i), 1972).
treatment or
s t govern their
N official or
An fficial or
such
rtv or obtain
4/16/2010
Marysville Municipal Code Ch. 2-80
(2) Accepts or seeks for others any service, information or thing of value on more favorabl terms
granted to the public generally, from any person, firm or corporation having dealings with he city;
(3) Accepts any gift or favor from any person, firm or corporation having any dealings with the city
has reason to know that it was intended to obtain special consideration;
(4) Influences the selection of or the conduct of business with a corporation, person or fir having
the city if he personally or through household relatives has financial interest in or with the orporati
firm;
(5) Is an employee, officer, partner, director or consultant of any corporation, firm or
the city, unless he has disclosed such relationship as provided by this chapter;
Page 2 of 4
ian those
he knows or
iness with
person or
with
(6) Engages in or accepts private employment or renders services for private industry wh n such ployment or
service is incompatible with the proper discharge of his official duties or would impair his i depend nce of
judgment or action in the performance of his official duties;
(7) Appears in behalf of a private interest before any regulatory governmental agency, or r
epresenlill
a private
interest in any action or proceeding against the interest of the city in any litigation to which
the city
a party,
unless he has a personal interest and this personal interest has been disclosed to the reg
latory g
vernmental
agency. A city councilman may appear before regulatory governmental agencies on behal
of con
ituents in the
course of his duties as a representative of the electorate or in the performance of public o
civic ob
gations;
however, no official or employee shall accept a retainer or compensation that is contingen
upon a
pecific action
by a city agency;
(8) Directly or indirectly possess a substantial or controlling interest in any business entity
hich c
ducts
business or contracts with the city, or in the sale of real estate, materials, supplies or servi
es to th
city, without
disclosing such interest as provided by this chapter. An interest is not a substantial intere
if such
nterest does
not exceed one-tenth of one percent of the outstanding securities of the business concern
or, if th
interest is an
unincorporated business concern, one percent of the net worth of such concern; or the fin
ncial in
rest of a
corporation, person or firm does not exceed five percent of the net worth of the employee
nd his
usehold
relatives;
(9) As a city councilman has a financial or other private interest in any legislation or other atters ming before
the council and fails to disclose such an interest on the records of the city council. This pr vision s all not apply if
the city councilman disqualifies himself from voting by stating the nature and extent of suc interes. Any other
official or employee who has a financial or other private interest, and who participates in d scussio with or gives
an official opinion to the city council and fails to disclose on the records of the city council he natu and extent of
such interest is in violation of this chapter;
(10) Violates any ordinance or resolution of the city;
(11) Violates the confidentiality of his position;
(12) Makes any false statement or representation of any public record or document in a willful disr$~gard of the
truth of such statement or representation. (Ord. 808 § 1, 1973; Ord. 770 § 3, 1972). II
2.80.045 - Confidentiality.
The city imposes the duty of every city employee, city advisor, and city council member to
maintai
his confidence
on any city business or information pertaining to the city of which he has knowledge regar
less wh
ther that
knowledge is gained in his or her normal work; provided, however, this confidence shall n
t apply
matters of
public record as defined by Initiative 276 and subsequent amendments thereto, nor to ma
ers whi
h are
necessary to relate or converse about in the performance of the official duties of that city
mploye
advisor
and/or council member. One does not maintain his confidence as used herein by speakin
, writing
r uttering in
any manner to persons who are not at the time of such speaking, writing or uttering in the
mploy
f, advisor to, or
council member of the city. (Ord. 808 § 2, 1973).
115
http://icma.org/upload/library/IQ/117607.htm
4/16/2010
Marysville Municipal Code Ch. 2-80
2.80.050 - Penalties.
Any person willfully violating this chapter is guilty of a misdemeanor and is subject to the
herein for the negligent violation of this chapter.
An employee of the city found guilty of a negligent violation of this chapter is subject to
including termination from employment and/or loss of pay not to exceed one month's s,
Any elected official found guilty of a negligent violation of this chapter is subject to a civil
to exceed one month's salary. In addition to the sanctions for aiding, abetting, seeking or
this chapter, any person or organization which willfully attempts to secure preferential tre
with the city by offering any valuable gifts, whether in the form of services, loan, thing or I
form to any ciry official or employee, shall have its current contracts with the city cancelec
bid on any other city contracts for a period of two years. (Ord. 770 § 4, 1972).
2.80.060 - Board of ethics - Organization.
There is created a board of ethics, composed of three members, one to be appointed by
appointed by two-thirds vote of the city council, and the third, who shall be chairman, to I
two members. The terms of the board members shall be three years. The first three mer
for one-, finro- and three-year terms, respectively. The chairman shall have a three-year 1
other finro are to be determined by lot. No member of the board of ethics shall simultanec
elected or appointed, nor shall he be an employee of the city. Any member of the board
for just cause by a two-thirds vote of the city council, after written charges have been sei
a public hearing has been held by the city council. (Ord. 929 § 2, 1977).
2.80.070 - Board of ethics - Powers and duties.
(1) The board of ethics shall be purely an advisory board to the city council.
(2) The board shall perform the following duties:
(a) Upon request of a city official or employee, the board shall render advisory opinions,
questions of ethics, conflicts of interest and the applicability of this chapter. Written copi
be released only when the board deems it to be in the public interest. Upon release, coE
the requesting party and to the mayor. Such opinions may be made public only upon de
may be necessary to protect the confidence and privacy of city officials and employees.
Page 3 of 4
ties provided
up to and
analty o loss of pay not
equesti a violation of
:ment in ts dealings
omise, r any other
and sha not be able to
~e mayo
, one to be
appoin
d by the other
ers sha
be appointed
m. The
rms of the
31y hold
ny city office,
ethics
ay be removed
~d on su
h member and
writing,
of such
5 shall b
;oncerning
)pinions shall
~ delivered to
material as
(b) Upon receiving a written complaint regarding a violation of this chapter, accompanied y proof at said written
complaint has been served upon the party who is accused, the board shall investigate sai compl nt and, if it
deems it necessary, shall conduct a hearing and issue findings as provided below.
(c) Upon its own motion, the board may investigate any suspected or alleged violation of t is chap r and, if it
deems it necessary, shall conduct a hearing and issue findings as provided below; provid d, how er, no such
hearing shall be conducted unless the accused is first served with written copy of the alle ations a ainst him.
(d) The board shall keep such records as may be necessary for the proper administration ~Of this cf~~apter. (Ord.
929 § 3, 1977). I II
2.80.080 - Board of ethics - Meetings.
The board shall meet as frequently as it deems necessary. A majority of the board shall c nstitute quorum.
Meetings shall be open or closed to the public at the discretion of the board and as allowe under e Washington
State Open Meetings Act. (Ord. 929 § 4, 1977).
2.80.090 - Board of ethics - Hearings and investigations.
http://icma.org/upload/library/IQ/117607.htm 116 4/16/2010
Marysville Municipal Code Ch. 2-80
In the course of an investigation, the board may determine that it is necessary to conduct hearir
investigation involves accusations against an officer or employee, such hearings shall be losed t
unless such officer or employee requests that it be a public hearing. The board may admi ister oc
connection with any matter under inquiry. Any witness in a proceeding before the board s all havi
represented by counsel. No informality in any proceedings or hearings, or in the manner taking
before the board, shall invalidate any decision or findings made, approved or confirmed b the bo
conclusion of each investigation, the board shall render written findings of fact and recom endati
the same shall be delivered to the party who was the subject of the investigation, the may r and t
(Ord. 929 § 5, 1977).
2.80.100 - Board of ethics - Review by city council.
Page 4 of 4
If the
he public
s in
he right to be
stimony
J. At the
s. Copies of
ciry council.
The city council shall review the findings and recommendations of the board of ethics. No uch fin ings or
recommendations shall be final or effective unless and until approved and implemented b resoluti n of the city
council. The city council, in its discretion, may render its decision based upon the findings and rec mendations
of the board of ethics without further investigation or public hearing. (Ord. 929 § 6, 1977).
117
http://icma.org/upload/library/IQ/117607.htm 4/16/2010
McKinney, TX.
118
~
vo~
N
U ~
T. 1$
CITY oF
McKINNEY
ETHICS POLICY
1 119
City of McKinney
Ethics Policy
October 21, 2003
N
ge
1. Resolution No. 2003-10-163(R) . . . . . . . . . . . . . . . . . . .
.1
II. Article I: Declaration of Policy . . . . . . . . . . . . . . . . . . . .
. 2
a. Purpose Statement . . . . . . . . . . . . . . . . . . . . . . . . . . .
. 2
b. Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. 2
c. Values and Guiding Principles . . . . . . . . . . . . . . . . . . .
. 3
III. Article II: City Officials . . . . . . . . . . . . . . . . . . . . . . . . .
. 3
a. Conflicts of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . .
. 3
b. Standards of Conduct . . . . . . . . . . . . . . . . . . . . . . . . .
. 3
IV. Article III: Compliance with Ethics Policy . . . . . . . . . . .
. 4
ADDENDUM No. 1
1. Conflict of Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. 5
a.
§ 171.001.
Definitions . . . . . . . . . . . . . . . . . . . . . . .
. 5
b.
§ 171.002.
Substantial Interest in Business Entity .
.5
c.
§ 171.0025.
Application of Chapter to Member of
Higher Education Authority . . . . . . . . . .
.6
d.
§ 171.003.
Prohibited Acts; Penalty . . . . . . . . . . . . .
. 6
e.
§ 171.004.
Affidavit and Abstention From Voting
Required
.7
f.
§ 171.005.
Voting on Budget . . . . . . . . . . . . . . . . . .
. 8
g.
§ 171.006.
Effect of Violation of Chapter . . . . . . . . .
. 8
h.
§ 171.007.
Common Law Preempted; Cumulative of
Municipal Provisions . . . . . . . . . . . . . . . .
. 8
i.
§ 171.009.
Service on Board of Corporation for No
Compensation
.9
I ADDENDUM No. 2 I I
1. Gifts
a. § 36.08. Gift to Public Servant by Person
Subject to His Jurisdiction . . . . . . . . . . .
II. Exceptions
a. § 36.10. Non-Applicable . . . . . . . . . . . . . . . . . . .
I10
I10
12
12
12r%)
A RESOLUTION OF THE CITY COUNCIL OF THE
OF MCKINNEY, TEXAS, ADOPTING A CITY ETHI
POLICY AND PROVIDING AN EFFECTIVE DATE.
WHEREAS, the City Council of the City of McKinney, Texas,
desires to adopt a policy to govern the actions of
public officials and to memorialize the officials'
dedication and service to the citizens of the City.
WHEREAS, the City Council by this resolution adopts an Ethic
Policy and hereby memorializes that desire by the
adoption of this resolution.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL
MCKINNEY, TEXAS:
Section l. The Ethics Policy attached as Exhibit "A" is hereby
adopted in its entirety.
Section 2. This Resolution shall be effective immediately upo
its passage.
PASSED AND APPROVED THIS 21 st DAY OF OCTOBER, 200
BILL WHITFIELD
Mayor
ATTEST:
JEN R S ULL
City Secretary
APPROVED AS TO FORM:
MARK HOUSER
Ciry Attorney
iz1_
Purpose Statement
It is hereby declared to be the policy of the City of McKinn
y
that the proper operation of democratic government requi
es
that public officials be independent, impartial and
responsible only to the people of the City; that no official
r
member of any board or commission shall permit any
financial interest or engagement in any business, transacti
n
or professional activity to conflict with the proper discharg
of his duties in the public interest; that public office not b
used for personal gain; and that the City Council at all tim
s
shall be maintained as a nonpartisan body.
To implement such a policy, the City Council deems it
advisable to have a policy concerning the conduct for publ
c
officials, whether elected or appointed, to serve as a guide
for official conduct of the City's public servants.
Def niiions
• City Council: The legislative and governing body of the
City, consisting of the Mayor and Council Members.
• City: City of McKinney
• Officer or official: Any member of the City Council and
any appointed member of a board or commission set up
ordinance, charter, state law or otherwise, on a regular
basis, excluding those boards and commissions not
operating under the direct authority of or subject to the
direct control of the City Council.
by
12?
Values and Guiding Principles
McKinney Leaders have established six standards (S.P.I.R.I.
that set our City apart. We value:
Service to ihe Community:
Treat others with respect, sincerity and cheerfulness.
Producing Quality Results:
Plan, innovate and execute tasks efficiently.
I ntegrity:
Ensure fairness and honesty to guide our work.
Responsible Aciion:
Take pride in our work. Be accountable for our actions.
I nnovation and Problem Solving:
Take the initiative... listen, question, explore and succe
d.
Teamwork:
Promote open communication and selfless cooperation
s
our team goals.
. Officials
Con flicts of Interest
• An officer or official shall at all times conduct himself
pursuant to the Conflict of Interest requisites of Texas
Local Government Code Chapter 171. (Refer to Addendu
m
No. 1 attached.)
• The provisions of the Texas Government Code are in
addition to any other municipal charter provisions or
municipal ordinances defining and prohibiting conflicts
f
interest.
Standards of Conduct
1. Required Disclosure
A City official shall make the required disclosures unde
Chapter 171 of the Texas Local Government Code. Sucl
disclosures shall be made prior to the matter being
discussed as part of a Council, board or commission
agenda meeting and the City official may elect to file a
123
written specific or general conflict of interest disclosure
statement, as the case dictates, with the appropriate
pe rso n.
2. Gifts
No City official shall accept or solicit any gift in
contravention of the City Charter or State Law Penal Cc
provisions governing such issues. (Refer to Addendum
2 attached.)
3. Disclosure of Confidential Information
City official shall protect confidential information purs
to the provisions of the Texas Public Information Act i
the Texas Open Meetings Act.
4. Interference with Administration
Unless specifically provided by ordinance or City Charte ,
City officials shall adhere to the limitations on contact ith
employees of the City provided by the City Charter.
5. Use of City Property
City official should use City supplies, equipment, vehicl s
or facilities solely for the conduct of official City busine s,
unless otherwise specifically provided by law, ordinance
charter or City policy.
6. Nepotism
A City official should adhere to the Texas Government
Code regarding the hiring of related family members t
the City.
Public Officials shall endeavor to assist each other in the
constant awareness and adherence to these Ethics Policies
Public Officials are encouraged to have open and frank
discussions of the issues that arise in the exercise of their
public duties. Citizen input is encouraged in the process o
maintaining the highest ethical standards for Public Officii
4
124
City of McKinney City Council
Ethics Policy
October 21, 2003
Addendum No. 1
CHAPTER 171. Regulation of Conflicts of Interest of Officers
Municipalities, Counties, and Certain Other L
Governments
§ 171.001.
In this chapter:
(1) "Local public official" means a member of the governin,
body or another officer, whether elected, appointed, paid,
unpaid, of any district (including a school district), county,
municipality, precinct, central appraisal district, transit
authority or district, or other local governmental entity wh
exercises responsibilities beyond those that are advisory ii
nature.
r
(2) "Business entity" means a sole proprietorship, partners ip,
firm, corporation, holding company, joint-stock company,
receivership, trust, or any other entity recognized by law.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
§ 171.002. Substantial Interest in Business Entity
(a) For purposes of this chapter, a person has a substantia
interest in a business entity if:
(1) the person owns 10 percent or more of the voting stoc
or shares of the business entity or owns either 10 percent
more or $1 5,000 or more of the fair market value of the
business entity; or
(2) funds received by the person from the business entity
exceed 10 percent of the person's gross income for the
previous year.
5
r
125
(b) A person has a substantial interest in real property if tl
interest is an equitable or legal ownership with a fair marN
value of $2,500 or more.
(c) A local public official is considered to have a substanti I
interest under this section if a person related to the offici I in
the first degree by consanguinity or affinity, as determine
under Chapter 573, Government Code, has a substantial
interest under this section.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
Amended by Acts 1989, 71 st Leg., ch. 1, § 40(a), eff. Aug.
28, 1989; Acts 1991, 72nd Leg., ch. 561, § 37, eff. Aug. 2
1991 ; Acts 1995, 74th Leg., ch. 76, § 5.95(27), eff. Sept. '
1995; Acts 1997, 75th Leg., ch. 849, § 1, eff. Sept. 1, 199
§ 171.0025. Applicaiion of Chapter to Member of Higher I
Education Authority
This chapter does not apply to a board member of a higher
education authority created under Chapter 53, Education
Code, unless a vote, act, or other participation by the boa
member in the affairs of the higher education authority w uld
provide a financial benefit to a financial institution, school
college, or university that is:
(1) a source of income to the board member; or I
(2) a business entity in which the board member has an
interest distinguishable from a financial benefit available t
any other similar financial institution or other school, college,
or university whose students are eligible for a student loa
available under Chapter 53, Education Code.
Added by Acts 1989, 71 st Leg., ch. 1, § 41(a), eff. Aug. 2~,
1989.
I§ 171.003. Prohibited Acts; Penalty I I
(a) A local public official commits an offense if the official
knowingly:
(1) violates Section 171.004;
6
126
(2) acts as surety for a business entity that has work,
business, or a contract with the governmental entity; or
(3) acts as surety on any official bond required of an
of the governmental entity.
(b) An offense under this section is a Class A misdemeano(.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
Amended by Acts 1989, 71 st Leg., ch. 1, § 40(a), eff. Aug
28, 1989.
1§ 171.004. Affidavit and Abstention From Voting Require4 ~
(a) If a local public official has a substantial interest in a
business entity or in real property, the official shall file,
before a vote or decision on any matter involving the
business entity or the real property, an affidavit stating th
nature and extent of the interest and shall abstain from
further participation in the matter if:
(1) in the case of a substantial interest in a business entit
the action on the matter will have a special economic effe t
on the business entity that is distinguishable from the eff ct
on the public; or
(2) in the case of a substantial interest in real property, it s
reasonably foreseeable that an action on the matter will h ve
a special economic effect on the value of the property,
distinguishable from its effect on the public.
(b) The affidavit must be filed with the official record keep r
of the governmental entity.
(c) If a local public official is required to file and does file
affidavit under Subsection (a), the official is not required 1
abstain from further participation in the matter requiring
affidavit if a majority of the members of the governmenta
entity of which the official is a member is composed of
persons who are likewise required to file and who do file
affidavits of similar interests on the same official action.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
7
12'7
Amended by Acts 1989, 71 st Leg., ch. 1, § 40(a), eff. Aug.
28, 1989.
§ 171.005. Voting on Budget
(a) The governing body of a governmental entity shall take
a
separate vote on any budget item specifically dedicated to
contract with a business entity in which a member of the
governing body has a substantial interest.
(b) Except as provided by Section 171.004(c), the affected
member may not participate in that separate vote. The
member may vote on a final budget if:
(1) the member has complied with this chapter; and
(2) the matter in which the member is concerned has been
resolved.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
Renumbered from § 171.006 and amended by Acts 1989,
71 st Leg., ch. 1, § 40(a), eff. Aug. 28, 1989.
§ 171.006. Effect of Violation of Chapter
The finding by a court of a violation under this chapter do
s
not render an action of the governing body voidable unles
the measure that was the subject of an action involving a
conflict of interest would not have passed the governing b
dy
without the vote of the person who violated the chapter.
Acts 1987, 70th Leg., ch. 149, § 1, eff. Sept. 1, 1987.
Renumbered from § 171.008 by Acts 1989, 71 st Leg., ch.
,
§ 40(a), eff. Aug. 28, 1989.
§ 171.007. Common Law Preempied; Cumulative of Munic
al
Provisions
(a) This chapter preempts the common law of conflict of
interests as applied to local public officials.
(b) This chapter is cumulative of municipal charter provisi ns
and municipal ordinances defining and prohibiting conflict
of interests.
8
128
Amended by Acts 1989, 71 st Leg., ch. 1, § 40(a), eff. Aug,
28, 1989.
I§ 171.009. Service on Board of Corporation for No I
Compensation
It shall be lawful for a local public official to serve as a
member of the board of directors of private, nonprofit
corporations when such officials receive no compensation
other remuneration from the nonprofit corporation or othE
nonprofit entity.
Added by Acts 1989, 71 st Leg., ch. 475, § 2, eff. Aug. 28,
1989.
Notes:
9
129
authority, who is employed by or in a tribunal having
judicial or administrative authority, or who participat
in the enforcement of the tribunal's decision, commit
an offense if he solicits, accepts, or agrees to accept
any benefit from a person the public servant knows i
interested in or likely to become interested in any
matter before the public servant or tribunal.
(fl A member of the legislature, the governor, the
lieutenant governor, or a person employed by a
member of the legislature, the governor, the lieutena
governor, or an agency of the legislature commits an
offense if he solicits, accepts, or agrees to accept am
benefit from any person.
(g) A public servant who is a hearing examiner
employed by an agency performing regulatory functii
and who conducts hearings in contested cases comrr
an offense if the public servant solicits, accepts, or
agrees to accept any benefit from any person who is
appearing before the agency in a contested case, wh,
doing business with the agency, or who the public
servant knows is interested in any matter before the
public servant. The exception provided by Section
36.10(b) does not apply to a benefit under this
subsection.
(h) An offense under this section is a Class A
misdemeanor.
ins
its
is
(i) A public servant who receives an unsolicited bene it
that the public servant is prohibited from accepting
under this section may donate the benefit to a
governmental entity that has the authority to accept he
gift or may donate the benefit to a recognized tax-
exempt charitable organization formed for educatio al,
religious, or scientific purposes.
Acts 1973, 63rd Leg., p. 883, ch. 399, § 1, eff. Jan.
1974. Amended by Acts 1975, 64th Leg., p. 915, ch
130
City of McKinney
Ethics Policy
Ocrober 21, 2003
Addendum No. 2
I§ 36.08. Gift to Public Servant by Person Subject to r
Jurisdiciion
(a) A public servant in an agency performing regulatc
functions or conducting inspections or investigations
commits an offense if he solicits, accepts, or agrees 1
accept any benefit from a person the public servant
knows to be subject to regulation, inspection, or
investigation by the public servant or his agency.
(b) A public servant in an agency having custody of
prisoners commits an offense if he solicits, accepts, c
agrees to accept any benefit from a person the publi(
servant knows to be in his custody or the custody of
agency.
(c) A public servant in an agency carrying on civil or
criminal litigation on behalf of government commits
offense if he solicits, accepts, or agrees to accept ar
benefit from a person against whom the public serv,
knows litigation is pending or contemplated by the
public servant or his agency.
is
(d) A public servant who exercises discretion in
connection with contracts, purchases, payments, clai s,
or other pecuniary transactions of government com its
an offense if he solicits, accepts, or agrees to accept
any benefit from a person the public servant knows i
interested in or likely to become interested in any
contract, purchase, payment, claim, or transaction
involving the exercise of his discretion.
(e) A public servant who has judicial or administra
10
131
342, § 11, eff. Sept. 1, 1975; Acts 1983, 68th Leg., K
3238, ch. 558 § 5, eff. Sept. 1, 1983; Acts 1991, 72r
Leg., ch. 304, § 4.04., eff. Jan 1, 1992; Acts 1993, 7:
Leg., ch. 900, § 1.01, eff. Sept. 1, 1994.
10.
(a) Sections 36.08 (Gift to Public Servant) and 36.09
(Offering Gift to Public Servant) do not apply to:
rd
(1) A fee prescribed by law to be received by a public
servant or any other benefit to which the public serv nt
is lawfully entitled or for which he gives legitimate
consideration in a capacity other than as a public
servant;
(2) a gift or other benefit conferred on account of
kinship or a personal, professional, or business
relationship independent of the official status of the
recipient; or
(3) a benefit to a public servant required to file a
statement under Chapter 572, Government Code, or
report under Title 15, Election Code, l that is derived
from a function in honor or appreciation of the
recipient if:
(A) the benefit and the source of any benefit in exce~s
of $50 is reported in the statement; and
(B) the benefit is used solely to defray the expenses hat
accrue in the performance of duties or activities in
connection with the office which are nonreimbursabl
by the state or political subdivision;
(4) a political contribution as defined by Title 15,
Election Code;
12
132
(5) a gift, award, or memento to a member of the
legislative or executive branch that is required to be
reported under Chapter 305, Government Code;
(6) an item with a value of less than $50, excluding
cash or a negotiable instrument as described by Sei
3.104, Business & Commerce Code; or
(7) an item issued by a governmental entity that all
the use of property or facilities owned, leased, or
operated by the governmental entity.
(b) Section 36.08 (Gift to Public Servant) does not ap ly
to food, lodging, transportation, or entertainment
accepted as a guest and, if the donee is required by am
to report those items, reported by the donee in
accordance with that law.
(c) Section 36.09 (Offering Gift to Public Servant) do,
not apply to food, lodging, transportation, or
entertainment accepted as a guest and, if the donor
required by law to report those items, reported by tl
donor in accordance with that law.
Acts 1973, 63rd Leg., p. 883, ch. 399, § 1, eff. Jan. "
1974, Amended by Acts 1975, 64th Leg., p. 915, ch.
342, § 11, eff. Sept. 1, 1975; Acts 1981, 67th Leg., 1
2707, ch. 738, § 1, eff. Jan 1, 1982; Acts 1983, 68tr
Leg., p. 3240, ch. 558, § 6, eff. Sept. 1, 1983; Acts
1987, 70th Leg., ch. 472, § 60, eff. Sept. 1, 1987; Ai
1991, 72nd Leg., ch. 304, § 4.05, eff. Jan. 1, 1992;
Acts 1993, 73rd Leg., ch. 900, § 1.01, eff. Sept. 1,
1994.
Notes:
13
133
Notes:
14
13 1
s,
a
LY'
McKINNEY
City of McKinney
222 N. Tennessee St. • McKinney, TX 75069
P.O. Box 517 • McKinney, TX 75070
972-547-7500 or Metro 972-562-6080
www.mckinneytexas.org
McKinney6, Comcast Cable Channel 6
135
Paradise Valley, AZ.
136
TOWN OF PARADISE VALLEY
TOWN OF PARADISE VALLEY
ETHICS POLICY
The purpose of this ethics policy for the Town of Paradise Valley is to assure the q
through ethical principles which shall govern the conduct of the Town Council an
Town's boards, committees and commissions. We shall.•
1. Obey the Constitution and laws of the United States of America, the
State of Arizona, and the laws of the Town of Paradise Valley.
2. Be dedicated to the concepts of effective and democratic local government.
Democratic Leadership. We shall honor and respect the principles and spirit f repre
democracy and set a positive example of good citizenship by scrupulously obs rving 1
spirit of laws, rules, and regulations.
3. Affirm the dignity and worth of the services rendered by the Town governm t and
deep sense of social responsibility as a trusted public servant.
4. Be dedicated to the highest ideals of honor, ethics, and integrity in all public and pF
relationships.
Page 1 of 2
of the
Laws of the
letter and
a
Public Confidence. We shall conduct ourselves so as to maintain public confi ence i Town
government and in the performance of the public trust.
Impression of Influence. We shall conduct our official and personal affairs i such a anner as to
give a clear impression that we cannot be improperly influenced in the perfo ance o rur official
duties.
5. Recognize that the chief function of local government is at all times to serve the bes interests of
all the people. 1~
Public Interest. We shall treat our office as a public trust, only using the pow r and r ources of
public office to advance public interests, and not to attain personal benefit or p sue aiiy other
private interest incompatible with the public good.
6. Keep the community informed on municipal affairs; encourage communica ion be een the
citizens and all municipal officers; emphasize friendly and courteous servic to the ublic; and
seek to improve the quality and image of public service.
Accountability. We shall assure that government is conducted openly, effici
honorably in a manner that permits the citizens to make informed judgments
accountable.
.13'7
eq tably, and
hold own officials
http://icma.org/upload/library/IQ/10000144.htm 4/16/2010
TOWN OF PARADISE VALLEY
Respectability. We shall safeguard public confidence in the integrity of Town
honest, fair, caring and respectful, and by avoiding conduct creating the appea
or impropriety of which is otherwise unbefitting a public official.
7. Seek no favor; believe that personal benefit or profit secured by
information or by misuse oJpublic time is dishonest.
Private Employment. We shall not engage in, solicit, negotiate for, or promi;
employment or render services for private interests or conduct a private busin
employment, service, or business creates a conflict with or impairs the proper
duties.
Confidential Information. We shall not disclose to others, or use to further
confidential information acquired in the course of our official duties.
Gifts. We shall not directly or indirectly, in connection with service to the Toi
accept or receive any gift - of any value - whether it be money, services, loan,
hospitality, promise, or any other form of gratuity. This policy shall not apply
transportation or other assistance provided to Town officials, which is directly
participation in community events as a representative of the Town.
Investment in Conflict with Official Duties. We shall not invest or hold any
indirectly, in any financial business, commercial or other private transaction i
with our official duties.
Personal Relationships. Personal relationships shall be disclosed in any
be the appearance of conflict of interest or a conflict of interest.
8. Conduct business of the Town in a manner which is not only fair in fact,
Disclosure. In quasi judicial proceedings, we shall abide by the directives of
Statutes which require full disclosure of contacts by proponents and opponent;
which are before the Town Council. The Town's Boards and Commissions ar,
same rules. In addition to these requirements of state statutes, we shall apply 1
disclosure to other discretionary actions of the Council.
138
http://icma.org/upload/library/IQ/10000144.htm
Page 2 of 2
by being
to acc
t private
,s when
such
ischarg
of official
r perso
1 interest,
n, soli
t any gift or
°avel, e
tertainment,
o hosp
ality,
•elated 1
6 their
vestme
t, directly or
tt creat
a conflict
ce whe there could
also in ppearance.
izona evised
of land se projects
also su ject to these
is sam standard of
4/16/2010
Pierce County, WA.
139
Chapter 3.12
CODE OF ETHICS
Sections:
3.12.010 Purpose.
3.12.020 Definitions.
3.12.030 Ethical Standards and Prohibited Practices Enumerated.
3.12.040 Financial Disclosure.
3.12.050
Administration of Reports.
3.12.060
Hearing Officer.
3.12.070
Ethics Commission.
3.12.080
Enforcement Procedures.
3.12.085
Breach of Confidentiality - Civil Infraction.
3.12.090
Civil Penalties - Other Sanctions Preserved.
3.12.100
Criminal Penalties.
3.12.110
Miscellaneous Administrative Provisions.
3.12.120 Limitation on Actions.
3.12.130 Severability.
3.12.010 Purpose.
A. The Pierce County Council recognizes the need for integrity in governi
recognizes that the people of Pierce County consider governmental ser
trust. Accordingly, it is the purpose of this Chapter to establish ethical
conduct for all officials and employees of the County, and for all peop]
Pierce County government. This Chapter is not to be construed so as t,
ability of County officials and employees to participate in ceremonial,
or informational functions in the pursuit of their official duties.
B. This Chapter shall be liberally construed in favor of protecting the pub
full disclosure of conflicts of interest and promoting ethical standards <
County officials, employees, and persons dealing with Pierce County g
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.010)
3.12.020 Definitions.
The following words and phrases as used in this Chapter shall, unless the cc
indicates otherwise, have the meanings as follows:
A. "Anything of value" means any real or personal property of any kind o
rendition of services of any kind or the promise of future employment,
benefit whether or not such items are in the form of a gift, loan, politic,
award, but shall not include the following:
1. Informational material transferred for the purpose of informing the
matters pertaining to official County business and the nature of wh
financially benefit the recipient;
2. Any symbolic presentation the nature of which is not to financially
recipient;
3.12 1
140
to b a public
dar of
alin with
impair ne
st m
for
the vol
ntary
r perso
1
l contri
tion or
ecipien
about
;h is no
to
Title 3 - Personnel
3.12. 020
3. Any reasonable hosting, including travel expenses, entertainment, eals or
refreshments furnished in connection with appearances, ceremonie and occ
reasonably relating to official County business;
4. Any honorarium as defined herein; or
5. Relatively inexpensive items of personal property such as a box of andy o a
bouquet of flowers which are given as a simple act of human kindn ss,
thoughtfulness and appreciation.
B. "Business" means any corporation, partnership, sole proprietorship, fi , ente ise,
franchise, association, organization, self-employed individual, consulta t, hold' g
company, joint stock company, receivership, trust or any legal entity o anized or
profit.
C. "Business with which an individual is associated" means any business i which he
person or a member of the person's immediate family:
1. Is a director, officer, partner, employee; or
2. Knowingly owns, directly or indirectly, an interest (a) that exceeds ne-ten of one
percent of the outstanding stock of all categories if the business is i corpor ed, or
(b) that exceeds 1 percent of the net worth of an unincorporated bu iness, o(c) that
exceeds 1 percent of all debt obligations of the business, incorporat d or
unincorporated; or
3. Attributes 5 percent or more of the net worth of the individual to o nership f a
financial interest in the business.
D. "Candidate" means any individual who seeks election to public office. Pursua to
RCW 42.17.020, an individual shall be deemed to seek election when e first:
1. Receives contributions or makes expenditures or reserves space or acilities ith
intent to promote his candidacy for office; or
2. Announces publicly or files for office.
E. "Compensation" means payment in any form for real or personal prope y or se ices of
any kind, unless the context requires a narrower meaning.
F. "Complainant" means any person filing a complaint of a violation of th Code set
forth in Section 3.12.080.
G. "Confidential information" means information exempt from public ins ection a d
copying pursuant to RCW 42.17.310, and information required under S ctions .12.030
and 3.12.080.
H. "De minimus" means small, slight or trifling.
1. "Elected or appointed official" means any person elected at a general o special lection
to any executive, legislative or judicial County office and any person ho is ap ointed
to fill an elective County office. For purposes of this Code, Superior C urt Jud es are
deemed State officials and are thus excluded from this definition.
J. "Ethics Commission" or "Commission" means the Commission referre to in t Pierce
County Charter, Section 9.50 and established in Section 3.12.070.
K. "Executive" means the individual who serves as Chief Executive Offic r of Pie ce
County pursuant to Pierce County Charter Section 3.20.
L. "Governmental body" means any department, office, commission, cou cil, boa ,
administration or other establishment in the administrative, legislative r judici 1 branch
of County government over which County government may lawfully e ercise i
jurisdiction.
3.12 2
141
M. "Hearing Officer" means that person designated in Sections 3.12.060 a]
proper person to receive complaints of violations of this Ethics Code ai
initial review of such complaints for the purposes and in the manner as
N. "Honorarium" means reimbursement for expenses in connection with s
etc., that could not reasonably be construed as given to influence the cc
official with relation to official matters.
0. "Immediate family" means spouse (unless a legal separation exists), de
other individuals residing in the person's household.
P. "Person" means any individual, business, union, committee, club or otf
constituted, organized or designated, including, without limitation, any
educational, religious or charitable association or group.
Q. "Pierce County employee" means any individual who receives compen
annual rate of $5,000.00 or more from Pierce County or who is respow,
recommending Pierce County official action of a nonministerial nature
1. Contracting or procurement;
2. Administering or monitoring grants or subsidies;
3. Planning or zoning;
4. Inspecting, licensing, regulating or auditing any person;
5. Any other activity where the official action has an economic impac
de minimus nature on the interests of any person. "Pierce County f
not include individuals who render services at public expense by c(
R. "Pierce County personnel" means any employee or elected or appointe
Pierce County.
S. "Political contribution" means any advance, conveyance, distribution,
or anything of value, including personal and professional services for 1
consideration, loan, payment, pledge, forgiveness of indebtedness, fort
deposit, subscription or purchase of a ticket to a testimonial or similar
in connection with a political campaign and any agreement or other ob
political contribution.
T. "Respondent" means any person who is named by a complainant as all
this Code.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.020)
Title 3
Personnel
3.12. 030
3.12.
0 as the
to ma
e an
t fort
herein.
eches,
ectures,
luct o
the
ndents~j and any
n at n
for king or
re rd to:
of grea r than a
nploye ' shall
irt appo ntment.
official of
ansfer funds
ss than 11
-rai
g affair
make a
Y
3.12.030 Ethical Standards and Prohibited Practices Enumerated.
A. No County personnel shall, except for compensation as provided by la , use hi or her
office or any confidential information received thereby for any private urpose,
including, without limitation: commercial purposes, financial gain, or resent future
employment. Private purpose includes benefits received by the County person 1,
members of his or her immediate family, and/or a business with which he Cou ty
personnel is associated.
B. 1. No person shall offer or give anything of value to County personne , memb rs of
their immediate family or business with which they are associated r to any
candidate for elected County office, member of his or her immediat family r
business with which he is associated based on any agreement or un erstand g that
the vote or official action of any County personnel or any candidat for ele ed
County office would be determined thereby.
3.12 3
. 142
Title 3 - Personnel
3.12.030
2. No County personnel or candidate for elected County office shall s
anything of value based on any agreement or understanding that th
action of any County personnel or any candidate for elected Count;
determined thereby.
C. 1. No County personnel or candidate for elected County office shall s
encourage, directly or indirectly, any political contribution from ar
personnel, nor knowingly accept any monetary contribution from (
in excess of $100.00 per candidate per calendar year.
2. Subsection C.1. above shall not apply to contributions by County r
members of the immediate family of the elected official or candida
further, that each such contribution by County personnel shall be c
by the donor as having been made by County personnel so that the
the candidate's political organization can verify that the funds rece
excess of the $100.00 per calendar year limitation. This limitation
is not intended to prohibit County personnel from voluntarily parti,
off-duty hours in political activities on behalf of a candidate for Cc
3. No County personnel or candidate for County office shall use the f
of his or her office or position and/or the prospect of future office c
manner intended to induce or coerce any other person to provide, c
indirectly, anything of value to said personnel, candidate or any ot]
than that which results naturally from the lawful and proper perfon
official duties.
D. No County personnel shall accept anything of value, other than compe
provided by law, for assisting any person to present a matter to a gove
to any other County personnel.
E. No County personnel shall accept anything of value, other than compe
by law, for rendering the services for which he or she is legally compe
F. No former County personnel shall, during the period of one year after
office or employment, disclose or use any information gained by reasc
County employment to obtain anything of value for himself or for any
unless the information is a matter of public knowledge or is available i
request.
G. No person and no County personnel shall:
1. Use, request, or permit the use of County motor vehicles, equipmen
property, except in the conduct of official business;
2. Use, request, or permit the use of County employee services during
except in the conduct of official business.
H. Na County personnel shall use his or her official influence to affect an
revaluation of any property in which he or she, the immediate family oi
which he or she is associated has an interest, except through a lawful al
regularly constituted public hearing.
1. No person and no County personnel shall engage in or aid and abet any
against any person as a consequence of that person's having made a rep
the Hearing Officer. Institution of formal court proceedings shall not b
act of reprisal.
3.12 4
licit or, ccept
vote or fficial
office ould be
licit or
Count
►unty p sonnel
rsonnel lWho are
arly id
tified
indidat
and/or
-d are
t in
n contr
utions
)ating
ring
nty offi
e.
wer or,
uthority
positioi
-i in a
ectly o
r perso
, other
ince of
ne's
;ation a
mental ody, or
;ation p ovided
~ated.
aving unty
of his r
the pu ic on
, mater" ls, or
llegal
a busin ss with
pearan at a
act of r risal
>rt of vi lation to
; consid red an
143
Title 3
3.12. 040
J. No person and no County personnel shall commit or allow any breach
f confi
ntiality
as reyuired by this Code of Ethics in connection with any report or inve
tigatio
of a
violation.
K. No person and no County personnel shall knowingly and intentionally i
duce o
coerce
or attempt to induce or coerce anyone to violate any provision of this C
de of
hics.
L. No person and no County personnel shall knowingly file a false charge
r repo
of
violation of this Code of Ethics with the Hearing Officer.
(Ord. 2003-50 § l, 2003; Ord. 93-21 § 1(part), 1993; Ord. 82-52 § 2(part), 198
; prior
ode
§ 6.01.030)
3.12.040 Financial Disclosure.
A. 1. All candidates for County elective office, within two weeks of beco
ing a
ndidate
as defined under RCW 42.17.020, as enacted or hereafter amended
nd all
rsons
recommended by a party central committee to the County Council
r appoi
tment
to a vacant elective County office, within five days of acceptance o
such
recommendation; shall file with the County Auditor a copy of the c
mplete
report
required to be filed under RCW 42.17.240, as enacted or hereafter
ended
and
commonly referred to as Form F-1 or F-1-A, which bears an origin
1 signat
re ofthe
person filing the report. All elected or appointed officials, on or be
ore the
ate
provided by State law, shall file with the County Auditor a copy of
he com
leted
report required to be filed under RCW 42.17.240, as enacted or her
after a
nded.
These reports shall be public documents filed in the Auditor's offic
.
2. In addition to the persons enumerated in subsection A1. above, the
County
ouncil
may, by ordinance, reyuire other County personnel to file with the
ounty
uditor a
copy of the report required to be filed by RCW 42.17.240, as enact
d or her
after
amended, and commonly referred to as Form F-1, which bears an o
iginal s'
nature
of the person filing the report.
B. It shall be sufficient to report whether amounts disclosed under subsect
on A. o
this
Section are:
1. Less than $1,000;
2. At least $1,000, but less than $5,000;
3. At least $5,000, but less than $10,000;
4. At least $ 10,000, but less than $25,000;
5. At least $25,000.
C. All elected or appointed officials shall make a report for each honorari m recei ed while
in office, including a description of services performed, date of payme , payor name
and address, and amount received, and shall file such report with the A ditor d ing
January of the next succeeding year after the honorarium is received.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.040)
3.12.050 Administration of Reports.
With respect to those reports required to be filed under Section 3.12.040, th Coun Auditor
shall:
A. Provide forms for reports, statements, notices and other forms required and fu ish the
same to persons required to file such statements and reports;
B. Accept and file any information voluntarily supplied that exceeds the r quirem ts;
C. Make statements and reports filed available during regular office hours for pub c
inspection and copying upon written and signed request, and make cop ing fac ities
available at a charge not to exceed actual cost;
3.12 5
144
Title 3 - Personnel
3.12. 060
D. Compile and maintain an index of all reports and statements filed to fac'litate p blic
access to such reports and statements; and
E. Preserve statements and reports filed for a period consistent with the pe iod pro ided in
RCW 42.17.450, as enacted or hereafter amended.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.050)
3.12.060 Hearing Officer.
A. There is established the position of "Hearing Officer" whose function ill be to eceive
written complaints of alleged violations of this Ethics Code, and to inv stigate t e
complaints in order to make an initial threshold determination whether robabl cause
exists to believe that a violation of this Code has occurred, all as set fo h in Se ion
3.12.080.
B. The Hearing Officer shall be selected by the Ethics Commission by ma ority vo e for a
one year contract. The Hearing Officer's contract may be renewed by a majorit vote of
the Commission. The Hearing Officer shall be currently licensed to pr ctice la in the
State of Washington, shall have been so licensed for a minimum of five years, d shall
have prior judicial experience as a member of the Superior Court or A pellate ourt
Bench. If an individual with prior judicial experience is unavailable to erve, t s
requirement may be waived. Because of its sensitive position, the Hea 'ng Offi er must
avoid even the appearance of a conflict of interest. Therefore, the Hear ng Offi er shall
be bound by the same restrictions as are set forth in Section 3.12.070 f inemb rs of the
Ethics Commission.
C. The Hearing Officer shall be compensated for the time devoted to the p rforma ce of his
or her official duties at a rate to be negotiated between the Ethics Com ission d the
Hearing Officer, subject to the approval of the Executive. The Hearing Officer hall be
reimbursed for reasonable and necessary expenses incurred in the perfo ance f his or
her official duties.
D. Whenever a Hearing Officer selected under this Code is either tempora ily or
permanently unable to perform the duties of this position, the Commiss on shal select a
temporary replacement or permanent successor in the manner provided for in s section
B. of this Section.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.055)
3.12.070 Ethics Commission.
A. There is established an "Ethics Commission" composed of five membe
s appoi
ed by
the County Executive and subject to confirmation by a majority of the
ouncil.
These
members shall serve without pay.
B. At least one member of the Commission shall be licensed to practice la
in the
tate of
Washington and all members shall be registered voters in the State of
ashin
n.
C. At least three members of the Commission shall be employed in or reti
ed from
he
private sector.
D. The original members shall be appointed within 60 days after adoption
f the o
inance
codified in this Chapter. Two of the original five members shall serve
nitial te
s of
two years and one of the original members shall serve an initial term o
one ye
, as
determined by the drawing of lots. Thereafter, members of the Commi
sion sh
11 be
appointed to three-year terms. Members shall serve until his or her suc
essor i
appointed or for 60 days following the expiration of the term, whichev
r is soo
er.
3.12 6
145
E.
F.
G.
H.
J.
K.
No member of the Commission, during his or her tenure, shall:
1. Hold or campaign for elective office;
2. Be an officer of any political party or political committee;
3. Make contributions, or permit his or her name to be used in support
opposition to, any candidate for County office;
4. Lobby or employ or assist a lobbyist.
No person shall be eligible for appointment to more than two three-yeai
provided in subsection F. of this Section.
An individual appointed to fill a vacancy occurring other than by the e)i
term of office shall be appointed for the unexpired term of the member
succeeds, and shall be eligible for appointment to two full three-year te
Any vacancy occurring on the Commission shall be filled within 60 dal
in which that position was originally filled. A vacancy shall not impair
the remaining members to exercise all the powers of the Commission.
The Commission may select a presiding officer in the manner it deems
Three members of the Commission shall constitute a quorum and a vot(
members is required for any action or recommendation of the Commiss
Commission shall meet as frequently as it deems necessary, provided t}
advance written notice is mailed to each Commission member and to ai
has filed a request to be notified of such meetings.
In addition to the duties prescribed by the Code of Ethics, the Commiss
the following powers:
1. Following a determination of probable cause by the Hearing Office:
primary investigative body for violations of the provisions of this C
2. Preserve all files, statements, correspondence and records of procee
period of seven years.
3. To adopt procedures to govern the conduct of the Commission.
4. To conduct investigations and hold hearings.
5. To advise the Executive as to budget requirements and make expen
accordance with the annual budget.
6. To request the services of the Prosecuting Attorney.
7. To consider questions of ethical conduct if in the public interest, an
advisory opinions.
8. To make recommendations to the County Executive and the Count}
amendments to this Chapter and for such other legislation affecting
matter of this Chapter as the Commission may deem necessary or d
9. To provide through coordination with the Human Resources Deparl
continuing program of education, assistance, and information regar,
conduct to all county officers and employees.
When, in the judgment of the Executive, a member of the Ethics Comrr
violated any provision of this Ethics Code or other law or has engaged
activities prohibited in subsection D. of this Section, the Executive ma}
the County Council that the member be removed. Upon concurrence o
Council the member shall be removed from the Commission, a vacanc}
new member appointed.
Title 3 Personnel
3.12. 070
F,ori
terms, ~xcept as
)iration f a
e or sh
ns ther after.
~inthe anner
he po rs of
ppropr' te.
of thre
:)n. Th
tt ten d ys
~ perso who
:)n shal have
act as e
to issu
~ounci for
1e subj ct
>irable.
ient, a
ssion n
s
i any o
the
recom
end to
a majo
ty of the
declare
and a
3.12 7
146
Title 3 - Personnel
3.12.080
L. Members of the Ethics Commission shall not discuss any hearing or in
estigatil
regarding a violation or alleged violation of this Code of Ethics, nor di
ulge the
of any complainant or respondent except through the process prescribe
by this
M. All meetings of the Ethics Commission shall comply with the Open Pu
lic Mee
Act, Chapter 42.30 RCW.
N. The County shall provide $1,500.00 annually to the Commission, throu
h the a
budget process, to cover the costs of staff assistance.
(Ord. 2004-7s § 2(part), 2004; Ord. 2000-79 § 1(2000; Ord. 93-21 § 1(part), 1 93;
§ 2(part), 1982; prior Code § 6.01.060)
3.12.080 Enforcement Procedures.
A. Any person who has personal knowledge of a violation of this Ethics C
complaint of the violation with the Hearing Officer. Complaints shall 1
form prepared by the Ethics Commission and shall be delivered to the ]
a location to be determined by the Hearing Officer in a sealed blank en
Complaints shall include, but not be limited to, the following:
1. Identity of complainant;
2. Identity of alleged Ethics Code violator;
3. Detailed description of activity constituting violation including dat~
of violations;
4. Section of Ethics Code believed to be violated, if known;
5. Identity of other persons with knowledge regarding alleged violatic
6. A statement by the complainant that he or she will maintain confidE
the fact that a complaint has been filed with the Ethics Commissior
she understands that failure to maintain such confidentiality may je
process and result in an invalidation of the complaint. Breach of cc
complainant regarding the fact that a complaint has been filed cons
civil infraction as defined by Chapter 1.16 PCC.
B. If a complainant breaches confidentiality regarding the fact that a comf
filed, the subject of the complaint may file a reyuest with the Commiss
the investigation.
C. Upon receipt of the above-described complaint, the Hearing Officer sh~
investigation of the allegations contained therein as he or she deems ni
appropriate in order to make an initial determination as to whether prol
to believe that a violation of this Ethics Code has occurred.
D. If the Hearing Officer is satisfied that there is no probable cause to beli
violation of this Ethics Code has occurred, he or she shall:
l. So notify the complainant and the subject of the complaint;
2. Prepare written findings and conclusions regarding the complaint s
basis for the findings and the legal basis for the conclusions;
3. File the findings, conclusions and a notice of no probable cause wi1
Commission;
4. If he or she believes a criminal act of a type not covered by the Eth
committed, submit his or her file to the appropriate law enforcemer
5. Take no further action other than as specified above and maintain c
regarding his or her investigation.
3.12 8
82-52
le a
dona
ficer at
and loltations
, if kn
n;
ttiality
garding
and tha-
r he or
pardize
he
fidenti
lity by a
tutes a
lass 1
aint ha
been
~n to c
plete
1 cond
t such
-essary
nd
ble ca
e exists
i
ve that
ting th factual
the Et ics
14'7
Title 3
Personnel
3.12.080
E. In the event complainant believes that the Hearing Officer did not fairl
and im
artially
review his or her complaint prior to determining no probable cause, con
iplainani
. may
file a request for reconsideration with the Chair of the Commission. A
atemen
that the
Hearing Officer did not make a fair and impartial review because of re
ons of
onflict
of interest, bias or prejudice must be attached to the reyuest for reconsi
eration.
1. The statement must set forth facts and reasons for the belief that the
conflic
of
interest, bias or prejudice exists.
2. The statement shall be filed no more than ten days after complainan
receiv
notice
of the Hearing Officer's original finding of no probable cause.
3. The Chair shall rule on the adeyuacy of the statement prior to refe
ing the
statement to the Commission. The Commission shall then review t
e origi
1
complaint, the statement, any other written materials which were co
sidere
by the
Hearing Officer, and the Hearing Officer's findings and conclusion
to dete
mine if
probable cause exists. If four Commission members find that prob
le cau
does
exist, the Commission shall:
a. Prepare and file its own written findings and conclusions;
b. Proceed as set forth in subsection F. of this Section.
4. Should it appear to the satisfaction of four members of the Commis
ion at a
y time
that any of the statements presented to it pursuant to this Section ar
presen
d in
bad faith or solely for the purpose of harassing a respondent or proi
nging t
e
investigation, the Commission shall order the complainant submitti
g them
o pay to
the Commission and the respondent the amount of reasonable expe
ses whi
h the
filing of the statement caused it to incur, including reasonable atto
eys fee%
and
shall declare no violation has occurred.
F. If the Hearing Officer finds probable cause to believe an Ethics Code v
olation
as
occurred, he or she shall:
1. Prepare written findings and conclusions regarding the complaint st
ting th
factual
basis for the findings and the legal basis for the conclusions;
2. File the findings and conclusions and a notice of probable cause wi
h the Et
ics
Commission;
3. If he believes a criminal act of a type not covered by the Ethics Co
e was
committed, submit his file to the appropriate law enforcement auth
rities;
4. Take no further action other than as specified above and maintain c
nfident
lity
regarding the complaint, the investigation and findings.
G. Except as set forth in this Section, the Hearing Officer and the Commis
ion sha
1 keep in
strict confidentiality the fact that a complaint has been received, the co
tents o
he
complaint, the identity of the party making the complaint, the results o
the inv
tigation
and the Hearing Officer's findings and conclusions.
H. Upon receipt of the Hearing Officer's findings of probable cause, the C
mmissi
n may
choose between the two courses of action as follows:
1. Refer the matter to the office of the Pierce County Prosecutor for c
'minal
prosecution; provided, that upon a determination that the proof bey
nd a re
onable
doubt necessary for criminal conviction is not available, the office
f the C
nty
Prosecutor may refer the matter back to the Commission for procee
ings co
sistent
with the civil burden of proof; e.g., a simple preponderance of the e
idence
or
2. Retain the matter for its own formal investigation with a view towa
d the ul
imate
imposition of a civil penalty or penalties in the event it is determin
an act
al
violation has occurred.
3.12 9
14R
Title 3 - Personnel
3.12. 080
1. Should the Commission decide to retain the matter for its own formal i
vestiga
on
pursuant to subsection G.2. above, the Commission shall notify, in writ
ng, the
complainant, and the respondent, of its decision to pursue a formal inv
stigatio
by way
of holding a hearing to determine if a violation has occurred.
J. Respondents shall be informed as to their rights to have the hearing eit
er open
r
closed to the public pursuant to the requirements of RCW 42.30.110(1)
t) and
O.
K. 1. Hearings conducted by the Commission shall be informal with tech
ical rul
s of
evidence not applying to the proceedings except the rules of privile
e recog
ized by
law. The respondent may be represented by legal counsel and/or b
his or
r
bargaining representative and may present and cross-examine witn
sses an
give
evidence before the Commission. The Commission may call witne
ses on i
own
motion and compel the production of books, records, papers or othe
evide
e
needed. To that end the Ethics Commission shall issue subpoenas
nd subp
enas
duces tecum at the request of the Commission or the person compla
ned ag
nst. All
testimony shall be under oath administered by a member of the Co
missio
The
Commission may adjourn its hearing from time to time in order to
llow fo
he
orderly presentation of evidence.
2. Upon motion of respondent or upon its own motion, the Commissio
may
temporarily stay or permanently suspend its investigation when, in
ts info
ed
discretion, the manifest needs of justice and fairness will be better s
rved th
reby.
3. Commission shall prepare an official record of the hearing, includi
g all tes
imony
which shall be recorded manually or by mechanical device, and ex
ibits; pr
vided,
the Commission shall not be required to transcribe such records unl
ss an i
ividual
entitled to knowledge of the contents of the record presents a reque
t acco
anied
by payment of the cost of transcription.
L. Within 30 days after the conclusion of the hearing, the Commission sh
11, base
upon a
preponderance of the evidence, make and fully record, in its permanent
records
findings
of fact, conclusions of law, and an order containing the final dispositio
includi
g where
appropriate the civil sanction(s) imposed. A copy of the findings, conc
usions
d order
shall be forwarded by registered mail to the complainant and to the res
ondent
t
addresses provided by both persons to the Commission.
M. Any person found, by final written order of the Commission, to be in v'
olation
f this
Code of Ethics may appeal the Commission's decision in the manner a
d form
provided by State law.
N. If no appeal is perfected within the 30 days following the date of the C
mmissi
n's final
order, and voluntary compliance with the order does not occur, the Co
ty Pro
cutor
shall petition in Superior Court for enforcement of the Commission's o
der in a
anner
patterned after that which is currently provided for enforcement of ord
s enter
by the
State Public Disclosure Commission in RCW 42.17.397 (Laws of Was
ington,
975-76
2d ex. s.c. 112-13).
(Ord. 93-21 § 1(part), 1993; Ord. 82-52 § 2(part), 1982; prior Code § 6.01.07~
3.12.085 Breach of Confidentiality - Civil Infraction.
Any complainant who breaches confidentiality regarding the fact that a cc
filed with the Ethics Commission shall be subject to a Class 1 civil infraction
Chapter 1.16 PCC. (Ord. 93-21 § 1(part), 1993)
been
to
3.12 10
149
Title 3
3.12. 090
3.12.090 Civil Penalties - Other Sanctions Preserved.
A. Whenever the Commission determines that a violation of any provision
of this
ode has
occurred, it may issue an order to the violator to comply with any one o
more
the
following requirements:
1. To cease and desist violation of this Chapter;
2. To file any reports or other documents or information required by t
is Chap
r;
3. To pay a civil penalty of not more than $500.00, or an amount not e
ceedin
three
times the economic value of anything received or sought in violatio
of this
hapter
whichever is greater;
4. To pay any damages sustained by the County which are caused by t
constituting the violation; or
5. To pay a civil penalty of $10.00 per day for each day that a properl,
statement or report required by Section 3.12.040 has not been filed
reyuired, up to a maximum of $250.00.
B. Violators shall be subject to the penalties as set forth in this Code of Et
subject to other liabilities to the extent that their conduct violates other
law, including without limitation, RCW 9A.68.010 through 9A.68.050
Corrupt Influence) and RCW 9A.80.010 (Abuse of Office), and to such
penalties shall be imposed in accordance with State law.
C. In addition to the above sanctions, should the complainant violate the c
provisions of subsection J. of Section 3.12.030, the Ethics Commission
dismissal of the complaint unless otherwise requested by the subject of
D. Any sanction imposed under this Chapter is in addition to and not in lie
penalty or sanction that may be imposed according to law or equity, inc
or recall from office, employee disciplinary action, or injunctive relief
violation of this Chapter cease and desist and/or that any statement or c
required by this Code of Ethics be filed.
(Ord. 93-21 § 1(part), 1993; Ord. 82-52 § 2(part), 1982; prior Code § 6.01.08(
3.12.100 Criminal Penalties.
A. A misdemeanor, as used in this Section, is punishable by imprisonme
jail for not more than 90 days, or by a fine of not more than $250.00,
B. Any person or County personnel who knowingly violates any provisi
C.3., J., and/or L. of Section 3.12.030 (Ethical Standards and Prohibi
Enumerated) shall be guilty of a misdemeanor.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.090)
3.12.110 Miscellaneous Administrative Provisions.
It shall be the responsibility of all elected or appointed officials to distril
Ethics to each employee under his official authority. Distribution must be n
of the adoption hereo£ Each employee receiving a copy shall initial a list ir
the Code. The Human Resources Department shall be responsible for main,
public documents. The responsibility of distributing Ethics Codes shall be i
present and future elected officials to distribute true copies to all new emplc
written indication of receipt of such copies. (Ord. 2004-7s § 2(part), 2004;
(part), 1982; prior Code § 6.01.100)
vithin tlile time
iics, but
ay be
)rovisio
s of the
Bribe
and
extent
iminal
>nfiden
ality
shall or,
er
the co
laint.
u of an
other
luding
moval
c) ensur
that any
in the
by bo
of sul
this CoOe of
thin 0 days
g re eipt of
the sts as
ous, equiring
and t req
82-52 § 2
3.12 11
150-
Title 3 - Personnel
3.12.120
3.12.120 Limitation on Actions.
A. Prosecutions for misdemeanors as set forth in this Code of Ethics must
within one year after the date when the violation occurred.
B. Any other action brought under the provisions of this Ethics Code must be com enci
within two years after the date when the violation occurred. For purpos s of thi
limitation, the filing of a complaint with the Hearing Officer shall be de med to ave
"commenced" an action.
(Ord. 82-52 § 2(part), 1982; prior Code § 6.01.110)
3.12.130 Severability.
If any provision of this Chapter or its application to any person or circ,
invalid, the remainder of the Chapter or the application of the provision to
circumstances shall not be affected. (Ord. 89-I55 § 5, 1989)
is
3.12 12
151.
Portland, OR.
15?
Code of Ethics
Explanations and Examples
For Elected Officials, City Employees, Appointees to Boards and Commissions, and City
i.,+-A,,,.+;,,.,
Code Language
Explanations and Examples
Introduction
December 1999,
TO: Elected Officials, City Employees, Appointees to Boards and Com
Volunteers
In 1994, City Auditor Barbara Clark proposed that Council adopt a new chapti
City Code, consisting of a code of ethics. Her work was based upon m terial 1
developed by the Josephson Institute of Ethics, but also involved City lected
bureau managers, union representatives, attorneys, citizens, and all th City';
employees.
I wholeheartedly support this Code of Ethics as an important means of
principles of our organization to employees, officials, volunteers, and tt
reason, the code of ethics emphasizes positive expectations, rather th<
prohibitions.
, City
to the
Is,
)nve ng the
publi . For this
a lo list of
This report also provides explanations and examples that can help yo navig
situations you may encounter. And if this report does not provide you ith su-
:e through
cient
153
guidance, I encourage you to seek the assistance of others. Your questions cln help us
all become better public servants.
GARY BLACKMER
Portland City Auditor
This material, as adapted, is reprinted with permission from the
Ethics.
Chapter 1.03
CODE OF ETHICS
(New Section added by Ordinance
No. 167619, May 4, 1994.)
Sections:
1.03.010 Definitions.
1.03.020 Trust.
1.03.030 Objectivity.
1.03.040 Accountability.
1.03.050 Leadership.
1.03.010 Definitions.
A. "City official" means any elected official, employee, appointee to a board c
citizen volunteer authorized to act on behalf of the City of Portland, Oregon.
B. "Ethics" means positive principles of conduct. Some ethical requirements a
federal, state, or local law; others rely on training, or on individuals' desire to,
The provisions of this Chapter which are not elsewhere enforced by law shall
advisory only.
1.03.020 Trust.
The purpose of City government is to serve the public. City officials treat thei
trust.
A. The City's powers and resources are used for the benefit of the public rathe
personal benefit.
B. City officials promote public respect by avoiding even the appearance of ir
C. Policymakers place long-term benefit to the public as a whole above all otl
including the concerns of important individuals and special interests. Howeve
interest includes protecting the rights of under-represented minorities.
of
or
enfoed by
the ht thing.
office ~s a public
than ahv official's
the
154
D. Administrators implement policies in good faith as equitably and economic
regardless of their personal views.
E. Whistle-blowing is appropriate on unlawful or improper actions.
F. Citizens have a fair and equal opportunity to express their views to City ofl
G. City officials do not give the appearance of impropriety or personal gain b;
personal gifts.
H. City officials devote City resources, including paid time, working supplies
as
assets,
to benefit the public.
1. Political campaigns are not conducted on City time or property.
1.03.030 Objectivity.
City officials' decisions are based on the merits of the issues. Judgment is ind
penden
and
obj ective.
A. City officials avoid financial conflict of interest and do not accept benefits
rom pe
ple
requesting to affect decisions.
B. If an individual official's financial or personal interests will be specifically
ffecte
by a
decision, the official is to withdraw from participating in the decision.
C. City officials avoid bias or favoritism, and respect cultural differences as p
art of d
ision-
making.
D. Intervention on behalf of constituents or friends is limited to assuring fairn
ss of p
cedures
clarifying policies or improving service for citizens.
1.03.040 Accountability.
Open government allows citizens to make informed judgments and to hold of
icials a
ountabl
A. City officials exercise their authority with open meetings and public recor
s.
B. Officials who delegate responsibilities make sure the work is carried out e
icientl
and
ethically.
C. Campaigns for election allow the voters to make an informed choice on ap
ropriat
criteria.
D. Each City employee and appointee is encouraged to improve City systems
y iden
fying
problems and proposing improvements.
E. City government systems are self-monitoring, with procedures in place to
romote
ppropri,
actions.
1.03.050 Leadership.
A. City officials obey all laws and regulations.
B. City officials do not exploit loopholes.
C. Leadership facilitates, rather than blocks, open discussion.
D. Officials avoid discreditable personal conduct and are personally honest.
E. All City bureaus and work teams are encouraged to develop detailed ethic,
training, and enforcement.
F. The City Auditor will publish a pamphlet containing explanations and exaj
principles.
Explanations and Examples
1.03.010 Definitions.
155
1. "City official" means any elected official, employee, appointee to a board
commission, or citizen volunteer authorized to act on behalf of the City a
Oregon.
The Code of Ethics is intended to apply to everyone. However, specifi~ group~ such as
employees or elected officials may be mentioned in some examples.
2. "Ethics" means positive principles of conduct. Some ethical requi emeni
enforced by federal, state, or local law. Others rely on training, or n inc
desire to do the right thing. The provisions of this chapter which a e not
enforced by law shall be considered advisory only.
The Code of Ethics is not intended to legislate morality, but rather to c nvey g neral
expectations of appropriate conduct. It is included in City Code to m e it eas to find,
and to emphasize the seriousness of Council's intent.
Just because an action is legal does not necessarily mean it is right or ood. Si ilarly, not
every action that is wrong needs to be punished under the law. The rol of ethi s is
particularly to question those actions which are neither prohibited nor equire by law. In
this pamphlet, the applicable laws are summarized in the boxes adjace t to the
explanatory text. If no law is indicated for a numbered subsection, its rovisio s are only
advisory.
1.03.020 Trust.
The purpose of City government is to serve the public. City officials treat thei office s a public
trust.
City officials have special powers, along with a special obligation to act only n beha of the
public.
{ORS Chapter 244 declares public office a public trust, prohibits certain actio s, and rovide;
dards d
penalties. An explanatory guide is available from the Oregon Government St 7 7
Practices Commission. }
1. The City's powers and resources are to be used for the benefit of
than any official's personal benefit.
To function effectively, the City needs the public's respect and confi
will be used on behalf of the community as a whole. In this context,
doubly wrong: a selfish decision is not only wrong in itself, but also
violates the public's trust in government.
2. Ensure public respect by avoiding even the appearance of
Public service requires a continual effort to overcome cynical attituc
about the people in government. For example, conduct which could
reasonable observer will undermine the public trust even if the cond
rather
power
are
;e it
and
to a
is not
15 q.
er
3. Policymakers place long-term benefit to the public as a whole abo e all oits.
considerations, including important individuals and special intere s. Ho ver, the
public interest includes protecting the rights of under-represented inorPublic service involves a complex network of competing loyalties to count state,
community, employer, mentors, colleagues, subordinates, family and s lf. Oft
constituent interests can be satisfied without violating the public intere t, but p licy
formulation requires evaluating information objectively and deciding hat is st for the
public as a whole.
There is no formula for the most difficult decisions. The long-range pu lic int est
demands that the will of the majority be tempered by a commitment to considei- the rights
and interests of minority groups, especially those who are not sufficie ly repr sented in
the normal decision-making process.
Elected officials have a duty to engage in dialogue with citizens, to he their ncerns
and to increase their awareness of long-term efforts for the community as a w le.
4. Administrators implement policies in good faith, as equitably,
economically as possible, regardless of their personal views.
City managers and service providers are supposed to implement the po icies laws
enacted by City Council. Not every aspect of every situation will be sp cifical covered
in the law, so virtually every employee will have opportunities to mak decisi s. These
decisions should be guided by an honest effort to understand and carry out the
policymakers' instructions.
Elected officials sometimes become frustrated dealing with a large, uni espons' e
bureaucracy. Civil servants can become equally frustrated by the pass e of la s which
have not sufficiently drawn on the expertise of administrators and are i practi al,
contradictory, ambiguous, underfunded, or ineffective. To keep these strati s from
paralyzing the organization, two-way dialogue is essential.
City workers at all levels generally have personal convictions which a ect the ay they
interpret and implement policies. This is proper so long as their values and atti rdes do
not impede or nullify instructions from policy-makers.
City workers who find their personal convictions are irreconcilably in ompati le with
lawful policies should openly state their conflict, and in some cases, w thdraw rom the
administration of such policies. It is not ethical to express personal co viction covertly
by blocking or ignoring lawful policies.
{City Code Section 1.01.140 provides a general penalty for violating ~ity Co~~ of a fine
up to $500 or imprisonment up to 6 months, or both.}
5. Whistle-blowing is appropriate on unlawful or improper actions.
I5',
Anyone who observes significant unlawful or improper actions by a ci
expected to report them. Customarily, the actions are reported to the ol
If the supervisor appears to be involved in the improper actions, the re]
a higher level, to the City Auditor, or to the Oregon Government Stanc
Commission. This decision is not to be made lightly, as whistleblowin
atmosphere of suspicion.
"Whistleblowing" differs from "leaking" because leakers act covertly
unaccountable for the consequences of their actions.
{City Charter Section 2-405 requires that the Mayor be notified of
violations. The penalty for willful failure to notify is removal from
Conscientious City workers protect the public from improper gover
illegal secret policies and arrogant decision-making. Therefore, it is
punish City workers who seek to hold government accountable thro
{Employer retaliation is prohibited by ORS 659.550, and by the Fe
Protection Act of 1987. Civil and criminal penalties are provided. }
ffici
1 is
al's
pervisor.
: can
e made to
s an
Practices
eate
an
are d1ssentiallv
to ass or
istl -blowing.
6. Citizens have a fair and equal opportunity to express their views t¢ City
Often it is impossible for an official to talk personally with every conc rned ci izen, but
obtaining an appointment should not appear to depend on the ability o the citi en to
provide personal benefits or campaign contributions.
7. City officials do not accept personal gifts.
In general, personal gifts should be refused or returned with a friendly ut fi message
that City officials are not allowed to receive gifts. A personal gift, lun , or en rtainment
under $100 in value is legal, but no amount is too small to be ethically questio able.
The key question for an individual official is, "Would I receive this gi if I di not hold a
City position?" The ethical principle is that officials obtain no persona gain fr m
performance of their duties except official compensation and the satis ction o a job well
done. Citizens can best show their appreciation with a letter of comme dation.
Even small promotional gifts such as imprinted pens or T shirts from ofit-m ing
entities should not be used on the job, because they can create the imp ession lat the
vendor is regarded with particular favor by the official.
Tact is especially needed if personal gifts to officials are expected in t e dono s culture.
For example, gifts presented as part of the Sister Cities program shoul be gra iously
accepted, and become the property of the City of Portland. However, i a pers al gift is
offered within Portland by an immigrant business owner, the official s ould e lain that
such gifts are not the City's custom.
159
{ORS 244.020 (8) defines "gift." ORS 244.040 (2) prohibits accepting gifts w' h a
cumulative value over $100 in a calendar year. ORS 244.350 (1) provi es civi penalties
up to $1000. }
Gifts for employee awards, volunteers, and community cooperation ar allowe under
Code section 5.08.095. Gifts exchanged between co-workers for occas ons su as
birthdays and holidays are not prohibited. Donations to City programs e also llowec
8. City officials devote City resources, including paid time, working ~pplies~ and
capital assets, to benefit the public.
Time paid for by the City is intended for City business. Personal erran~s and c~lls should
be confined to break periods or official time off.
Supervisors should not ask subordinates to perform personal services.
{City Charter Section 2-610 requires time on the job to be devoted to
Generally, personal photocopies and toll calls can be made during bre~ perio~s and
reimbursed to the City. Office supplies are for City use only.
Some work groups permit after-hours personal tasks on City computer
, on th
ground
that the public will benefit from the employee's additional practice. Ot
er gro
s prohibit
any personal use even if the cost to the public would be too small to m
asure.
f public
benefit is the guiding criterion, either decision is ethically defensible.
City workers should not use their position to acquire personal benefits
such as
urplus
City equipment, tickets to events, or special treatment. City workers s
ould ne
i, use
official letterhead or refer to their public position when requesting per
onal be
efits or
resolving personal disputes.
9. Political campaigns are not conducted on City time or property.
{ORS 260.432 prohibits solicitation of, or campaigning by, public
working hours, with an exception for elected officials. }
State law requires posting a notice stating, "No public employee shall
influence, service or other thing of value or otherwise promote or oppi
committee or promote or oppose the nomination or election of a candi
of signatures on an initiative, referendum or recall petition, the adopti(
the recall of a public office holder while on the job during working ho
section does not restrict the right of public employees to express persc
It is therefore the policy of the state and of your public employer that
political activity except to the extent prohibited by state law when on,
working hours."
,icit
y money,
; any
olitical
:e, th
gathering
of a
easure or
Ho
ever, this
1 poli
ical views.
i ma
engage in
j ob
ing
159
{ State law does not prohibit campaigning on City property, but does
property to be equally available to both sides of a campaign. }
For example, a City employee while on City property during a lunch b eak c express
personal political views to co-workers but not distribute flyers for a c paign.
As a further example, for an election such as a tax limitation or bond easure, ouncil
may declare an official position for the City. City officials are permittto pr ide
information on the measure's impact, but not to use public resources to promo a specific
vote.
It may be difficult to distinguish official duties from campaign activiti s in
speeches or articles communicating an elected official's opinion. In su h cz
participation of public employees is justified so long as a substantial p blic
served.
1.03.030 Objectivity.
City decisions are based on the merits of the issues, free from conflict of inter,
independent and objective.
Financial disclosure regulations are designed to prevent bribery and extortion
individuals' freedom of expression and association. The theory is that an infor
decide on the propriety of financial links and hold the officials accountable. It
officials not only to scrupulously comply with the law, but also to personally 4
transaction offered in order to avoid suggesting any conflict of interest.
{ORS 244.050 requires statements of economic interest, and ORS Chapter 26
disclosure of campaign contributions. }
1. City officials avoid financial conflict of interest and do not accept
people requesting to affect decisions.
;s such as
the
nose is
is
c will
for
Many citizens seek to influence government actions. Some do so by o
ering
nefits
such as personal favors, entertainment, gifts, loans, and special invest
ent op
rtunities
City officials are to refuse and to educate the citizens that such offers
re not
lowed. If
the citizen is politically experienced and the attempt to unduly influen
e is cle
, the
matter should be reported to law enforcement authorities.
{Bribery is a crime under ORS 162.015. City Charter Section 2-609 p~ohibits
favoring of bidders, enforced by removal from office. }
2. If an individual official's financial or personal interests will be sp,
by a decision, the official is to withdraw from participating in the
{ORS Chapter 244 defines conflict of interest, limits participation,
penalties. An explanatory guide is available from the Oregon Govf
Practices Commission. }
affected
for civil
ards and
169
Recusal and disqualification involves a statement such as, "My brothe in-law s part
owner of the property under discussion. Therefore, I will not be speaki g or v ing on
this matter."
State law distinguishes between actual conflict of interest, which de
the official, and potential conflict, where the effect is not certain. In
potential conflict, the official must disclose the conflict but may par
decision.
The law also makes an exception where the official's financial interest
a whole class of citizens, such as property taxpayers. For a non-specifi
informational disclosure is appropriate, such as, "We will be voting on
Neighborhood Plan. I live in Albina, but the plan does not specifically
property."
State law focuses on elected officials and appointees to boards and coi
ethical principle extends to all officials. For example, a building inspe
inspect his or her own residence. City workers also undermine objecti,
award a contract, then leave to become an employee of the contractor.
3. City officials avoid bias or favoritism, and respect cultural
decision-making.
It is improper to use public authority to help friends or to hinder
When selecting a committee or task force, it is desirable to provide as
the size of the group will allow.
{Official City policy (Res. 35162) requires that all cultures be recogni
mutually respected. }
4. Intervention on behalf of constituents or friends is limited to assui
procedures, clarifying policies or improving service to all citizens.
City officials should avoid giving citizens any reason to believe they
ar different services if they had a personal connection with the offici
Elected officials, in particular, should be clear about discussing
pressuring administrators toward a particular decision.
1.03.040 Accountability.
Open government allows citizens to make informed judgments and to hold
1. City officials exercise their authority with open meetings and pu
tely wo
ld affect
case o
a
pate in
e
are inc
ded with
. link,
the A1
na
~efer to
y
unissio
s, but the
tor wo
d not
ity whe
they
as iart of
1 di ersity as
ho red, and
fai ess of
i re eive better
n r her than
161
The laws of open government balance citizens' right to know against
confidentiality in matters such as medical records and employee disc
need
{Public records and open meetings are covered by ORS 192.001 and 1P2.610.
2. Officials who delegate responsibilities also follow up to make sure
carried out.
Managers are to make sure routines are developed that support appro]
and should sponsor staff training to handle delegated responsibilities.
3. Campaigns for election allow the voters to make an informed
criteria.
Elections offer the ultimate accountability for City officials. Therefore
strive for respectful and accurate discourse on important issues.
To protect freedom of speech and of the press, Oregon law does not r
questionable actions such as untrue statements, unkept promises, or d
Nevertheless, such actions are unethical. It is also not ethical to focus
trivial matters or on the kind of negative exchanges that make voters,
on both your houses."
4. Each City official is encouraged to identify problems and propose
City workers who believe a law or policy is not achieving its stated
unintended harm, or is inefficient, should express such concerns to
suggest possible improvements.
City managers should share "big picture" information with their
suggestions for improvement.
City government systems are self-monitoring, with procedures in
appropriate actions.
City workers are often in the best position to observe fraud, waste, or ;
power, and their refusal to participate is a necessary part of protecting
managers should support a workplace atmosphere that encourages em
their work, and avoid a"kill the messenger" response if problems are,
attention. City managers should make sure their practices for purchasi
hiring include routines that elicit fair choices and assure protection of
routines include checklists, separation of duties, bank account reconci
to management.
{City Code 4.01.030(I) prohibits nepotism, and 5.32.150 states that Ci
not also be City vendors without specific authorization from Council.;
work is
on
should
;n on
"A plague
creating
isors and
reward
to
City
de in
ing, and
Such
reports
may
16#2
Safeguards should be as simple as possible, so the cost of protection w
for the situation. Often mere record-keeping is sufficient: for example,
could record and periodically report all contacts from elected officials
specific constituents.
1.03.050 Leadership.
Ethical leadership sets a good example and treats all citizens with respect.
1. City officials obey both the letter and the spirit of all laws and
11 be
an ac
Law-abiding behavior by City officials sets a good example for citize s to
law. Laws governing their public duties are especially important, but e en
private life carry a public message.
{Violating an oath of office is a misdemeanor under ORS 162.075.1
In rare cases, an official may invoke this country's long tradition of ci i
which is the open refusal to abide by an unjust law, as a matter of con c
impetus to change. Such actions must be subject to legal consequence .
istrator
of
the
in
an
Because of their knowledge of the law, public officials may be aware f ambi uities or
incomplete enforcement, but they should nevertheless comply with th laws' s irit and
purpose.
2. Leadership facilitates, rather than blocks, open discussion.
Any official who controls a parliamentary process has an ethical oblig tion to void
behavior such as strained interpretation of the rules, refusal to recogni e a per n, or
arbitrarily delaying a decision.
3. All City bureaus and work teams are encouraged to develop
standards, training, and enforcement.
This Code of Ethics covers the relationship of the City as a whole to itIs citi
Organizations within the City should develop additional standards as leede
Also, ethical standards require training and enforcement, which may 1 ad to r mement of
the standards. Even the City-wide Code should be reviewed periodica ly.
4. The City Auditor will publish a pamphlet containing
ethical principles.
For comments about this pamphlet, or for additional copies,
City Auditor, City Hall 140
1221 SW 4th Ave.
and eximples of
16
Portland OR 97204
(503) 823-4078 FAX 823-4571
Interoffice Mail 131/140
E-Mail: sfrancois@ci.portland.or.us
Return to Auditor's Home Page
Last reviewed January 19, 2001 by Susan Francois.
1V-4,
St. Mary's, M D.
165
St. Mary's County Ethics Ordina
Pag 1 of 9
NO: 200] -
SUBJECT: ST. MARY' COU
PUBLIC ETHICS O DINA
REVIS
ORDINANCE I
WHEREAS, the 1979 Session of the Maryland General Assembty passed the Maryland P blic Ethics
Law (Chapter 513 of the Acts of 1979) which has become Article 40A of the Annotated Code o Maryland;
and
WHEREAS, Section 6 of ARicle 40A requires each County to enact provisions simil r to those
contained in the Maryland Public Ethics Law (Chapter 513 of the Acts of 1979) which has become Ricle 40A
of the Annotated Code of Maryiand; and
WHEREAS, the St. Mary's Counry Boazd of Counry Commissioners adopted on June 2, 1982, as
Ordinance No. 82-12 the St. Mary's Counry Public Ethics Ordinance and amended it on Jul 1, 1984,
December 17, 1985, November 12, 1986, October 13, 1987, June 4, 1991, May 18, 1993, January 10, 1995,
November 24, 1998 and May 8, 2001; and
WHEREAS, the St. Mary's County Ethics Commission has reviewed and discussed Se tion 6 and
has concluded that a revision of the Public Ethics Ordinance is appropriate for the purpose of simp ification of
filing financial disclosure statements for appointees to voluntary boards and commissions; and
WHEREAS, in a meeting with the St. Mary's County Ethics Commission on February 2, 2001, the
Board of County Commissioners discussed proposed Revision of Section 156-6 with the St. Ma 's Counry
Ethics Commission and granted authorization to publish notice for public hearing relative to the rev sing of the
Public Ethics Ordinance; and
WHEREAS, the State Ethics Commission as required by State Government Article, Title 5,
Annotated Code of Maryland, Subtitle 8 of the Public Ethics Law, and by Code of Maryland Regul tions,
COMAR 19A.04, reviewed and approved the St. Mary's County draft Public Ethics Ordinance's R ision of
Section 158-6; and
W HEREAS, the St. Mary's County Board of County Commissioners now concludes it i necessary
to further amend the Public Ethics Ordinance, notice of Public Hearing was published on April 2, 2001 and
May 1, 2001 in The Enterprise, a newspaper of general circulation for the purpose of conducti g a public
hearing on the proposed draft Ethics Ordinance; and
WHEREAS, the St. Mary's County Board of County Commissioners conducted a Public Hearing on
May 8, 2001;
NOW, THEREFORE, BE TT ORDAINED by the St. Mary's County Board of County
Commissions that the St. Mary's County Public Ethics Ordinance is repealed and re-enacted as set orth herein
and made effective May 29, 2001.
SECTION 1. - TITLE
This Chapter may be cited as the St. Mary's Counry Public Ethics Ordinance.
cFt'TION 2- STATEMENT OF PURPOSE AND POLICY
A. St. Mary's County, recognizing that our system of representative government is d pendent in
large measure upon the people having uust and confidence in their public o icials and
employees, finds and declares that the people have a right to be assured that the imp iality and
independent judgment of public officials and employees will be maintained.
B. This confidence and trust is eroded when the conduct of St. Mary's County business i subject to
improper influence or even the appearance of improper influence.
C. For the purpose of guarding against improper influence, the Board of Counry Comm ssioners of
St. Mary's County enacts this Public Ethics Ordinance.
SECTION 3. - DEFINITIONS
The definitions contained in this section of the Ordinance shall be observed and applied e~cept where
the context cleazly indicates otherwise or a different definition is adopted for a particulaz section o subsection
of this Ordinance. Words used in the present tense shall include the future tense and words used
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St. Mary's County Ethics Ordinance
Pag 2 of 9
in the singular number shall include the plural number and the plural number includes the singula unless the
obvious construction of the wording indicates othenvise. Words used in the masculine gender shall include the
feminine and words in the feminine gender shall include the masculine.
Whenever used, the word "shall" is mandatory, and the word "may" permissive.
"Business entity" means corporation, general or limited par[nershiq sole proprietorship, j~nt venture,
unincorporated association or firm, institution, trust, foundation or other organization, whether or t operated
for proft.
"Commissiod" means the St. Mary's Counry Ethics Commission established pursuant to jection 4(a)
of this Ordinance.
"Compensatiod" means any money or thing of value, regardless of form, received or to be eceived by
any person subject to this Ordinance from a business entiry for service rendered. If lobbying is on a portion
of a person's employment, °compensatiod' means a prorated amount based on the time devoted lobbying
compared to the time devoted to other employment duties. For reporting purposes, a prorated amo nt shall be
labeled as such.
"Doing business with" means:
A. Having or negotiating a contract that involves the commitment (either in ~ single or
combination of transactions within a calendar year) of $3,500 or more, o county or
county-controlled funds;
B. Being registered as a lobbyist in accordance with Section 8 of this OrdinanceJ or
C. Being regulated by the County or an agency thereof.
"Financialinterest" means:
A. Ownership of any interest as the result of which a person has received, witlin the past
calendar year, or is presently receiving, or in the future is entitled to receivel more than
$1,000 per calendar year; or
B. Ownership of, or interest in more than five percent (5%) of a business entity.
"GifY" means the transfer of anything of economic value, regardless of the form, without a equate and
lawful consideratioa "Gifr" does not include the solicitation, acceptance, receipt or regulation f political
campaign contributions regulated in accordance with the provisions of Article 33, Section 26-1 et eq., of the
Annotated Code of Maryland or any other provision of state or local law regulating the conduct of lections or
the receipt of political campaign confibutions.
"Honoraria" means the payment of money or any thing of value foc
A. Speaking to, participating in or attending a meeting, conference or other function; or
B. Writing an article, other than a book, that has been or is intended to be
"Immediate family° means spouse and/or dependent child.
`9nteresY" means any legal or equitable monetary interest, whether or not subject to an en
or a condition, which is owned or held, in whole or in part, jointty or severally, directly or indirectly
"Interest" does notinclude:
A. An interest held in the capacity of a personal representative, executor, admini trator,
agent, representative, custodian, fiduciary or trustee;
B. An interest in a checking account or time or demand deposit in a financial ins itution;
C. An interest in an insurance or endowment policy or annuity contract unde which a
company promises to pay a fixed number of dollars either in a lump sum or riodically
for life or some other specified period; or
D. A common trust fund or a trust which forms part of a pension or profit-s ring plan
which has been determined by the [ntemal Revenue Code, as amended fr m time to
time.
"Lobbying" means:
A. Communicating in the presence of a St. Mary's County official or
intent to influence any official action of that official or employee; or
with the
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B. Engaging in activities having the express purpose of soliciting others to c mmunicate
with a St. Mary's County official or employee with the intent to influence y official
action of that official or employee.
"Official and/or employee° means any person elected [o, appointed to or empbyed by St. Mary's
County or any St. Mary's County agency, board, commission or similar entity, whether or not paid n whole or
in part with St. Mary's County funds, and whether or not compensated.
"Person" includes an individual or business entity.
"Volunteer Member" means any member of any board or commission who se es without
compensation or who is paid only a nominal sum or is reimbursed only for actual and necessa expenses
approved by the appropriate county official.
SECTION 4. - ADMINISTRATION
A. There shall be a St. Mary's County Ethics Commission which shall consist of five O members
appointed by the Board of County Commissioners. The Commission members shall b appointed
for staggered terms of three (3) years. The Commission shall select its Chairman in ly of each
yeaz by majority vote. A member shall serve until a successor has been app inted. The
Commission, upon request, shall be assisted in carrying out its responsibilities by he County
Attomey or such other counsel as the County Commis sioners may from time to time a point.
B. This Commission shall be the advisory body responsible for interpreting this Ord nance and
advising persons subject to it as to its application.
C. The Commission shall be responsible for hearing and deciding any conQlaint filed r garding an
alleged violation of this Ordinance.
D. The Commission shall be the custodian of all statements, registrations, reports and omplaints
submitted in accordance with this Ordinance.
E The Commission shall be responsible for conducting information and educatio programs
regarding the purpose and implementation of this Ordinance.
F. Persons governed by this Ordinance may request the Commission for an adviso opinion
conceming its application to them. The Commission shall respond within a reasonable time to the
requests, provided that interpretations based on the facts are provided or reasonably vailable to
it. The Commission may, in its discretion, also respond to such requests from p rsons not
specifically governed by this Ordinance. Copies of the responses shall be made avai ble to the
public in accordance with and subject to any applicable state or county law regar ing public
records. Information which may identify the person who is the subject of the opini n shall be
deleted to the fullest extent possible from advisory opinions.
G. Persons may file, under oath, a written signed complaint with the Commission lleging a
violation of any of the provisions of this Ordinance. Also, the Commission, on its o n motioq
may issue complaints alleging violations of the Ordinance. Upon receipt of a com laint, after
reviewing the allegations, the Commission may:
1. Dismiss the complaint if deemed plainly frivolous or if the facts alleged do not indicate a
violation of the Ordinance.
2 Conduct an investigation into the allegations of the complaint or refer the comp aint to the
County Attomey or other legal counsel for investigation and report. Counsel sh 11 refer the
evidence collected to the Commission for its disposition.
3. Based upon the Commission's investigation or the investigation and report of c unsel, the
Commission may, if appropriate, proceed as follows:
a. Dismiss the complaint.
b. Notify the Complainant and the Respondent that if any action is taken by the espondent
to cure the violation or violations within a time period specified by Clommission
regulations, the complaint may be dismissed if such dismissal is not cont ry to the
purposes of the Ordinance.
c. If not dismissed pursuant to (a) or (b), the Commission shall hold a hear~ng on the
complaint. I
H. Review.
1. The Respondent may be represented by counsel, and the proceeding shall be c
accordance with regulations goveming hearings as adopted by the Commission.
m
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St. Mary's County Ethics Ordinance
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2. Any final determination resulting fromthe hearing shall include findings of fact, onclusions
of law and recommendations. If a violation is found, the Commission may ake and/or
recommend any enforcement action provided for by Section 9 of the Ordinance.
3. If aggrieved by a final order of the Commission, the respondent may request jud cial review
in accordance with the provisions of Rules 7-201 through 7-210 of the Maryl d Rules of
Procedure, and any final order of the Commission shall be stayed automatically u til the time
for requesting judicial review has expired. If a timely appeal for judicial review 's filed, the
final order shall be further stayed until final disposition by the reviewing court.
4. If in the course of considering any complaint filed with it, or made upon its own motion, the
Commission has reasonable grounds to believe that the respondent named in th complaint
may have committed a criminal offense, the matter shall be prompUy refe ed to the
appropriate prosecuting authority. All pertinent evidence under the con ol of the
Commission shall be made available to the prosecuting authority.
5. Following the filing of a complaint and unless and until the matter is referred for rosecution
or a finding of a violation has been made, the proceedings of the Commission in connection
with the complaint shall be conducted in a confidential manner, unless such confi entiality is
waived by the Respondent.
6. In carrying out the provisions of the Ordinance, the Commission may issue subp enas in aid
of investigations, to compel attendance and testimony of witnesses at heazings nd for the
production of books, papers, records, documents or other tangible objects. Such subpoenas
may bejudicially enforced.
1. The Commission shall by majority vote have the authority to exempt from the definiti n of "gift"
a specific thing or class of things of economic value which the Commission, upon finding in
writing, determines not to be detrimental to the impartial conduct of the business of he County
and that the gifr is purely personal and private in nature.
J. The Commission may grant exemptions and modifications to the provisions of Sectio 5 and 6 of
this Ordinance if it determines that the application of those provisions would:
1. Constitute an unreasonable invasion of privacy; and
2. SigniScantly reduce the availabiliry of qualified persons for public service and fu her;
3. Not be required to preserve the purpose of this Ordinance.
K. The Commissioners may adopt rules and regulations in order to carry out the provis ons of the
Ordinance.
SECTION 5.- CONFLICTS OF INTEREST
A. Participation prohibitions. Except as permitted by other provisions of this Ordin ce or by
Commission regulation or opinion, a St. Mary's County official or employee shall not participate
in:
1. Any matter, except n the exercise of an administrative or ministerial duty whi does not
affect the disposition or decision with respect to that matter, if, to his/her knowle ge, he/she,
his/her spouse, child, parent, brother or sister has an interest therein.
2. Any matter, except in the exercise of an administrative or ministerial duty, when any of the
following is a party thereto:
a. Any business entity in which he/she has a financial interest of which /she may
reasonably be expected to know;
b. Any business entity of which he/she is an officer, director, trustee, partner o employee
or in which entity he/she knows or may reasonably be expected to know that any of the
relatives listed above have such an interest;
c. Any business entity which the official or employee knows is his/her creditor or obligee
or that of a member of his/her immediate family as defined herein with respe t to a thing
of economic value. For the purposes of this subsection, retail credit accou s and any
liability of less than $1,000 are exempted.
B. If a disqualification pursuant to this Section leaves any St. Mary's Counry age cy, board,
commission or simi►ar entity with less than a quorum capable of acting or if the isqualified
official or employee is required by law to act Q is the onty person authorized o act, the
disqualified person shall disdose the nature and circumstances of the conflict of int rest and a
satisfactory explanation of the necessity to participate and act in a letter directed to the Ethics
Commission, which shall be a public record. The Ethics Commission in a public m ting shall
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St Mary's County
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review the conflict of interest and vote on the appropriateness of the official's partici ation. In it,
deliberations, the Ethics Commission will consider the degree and extent of confli , the effec
the officiaPs participation would have on the spirit of the Ordinance and whether t e of5cial'
participation would or would not be in the best interest of St. Mary's Counry. he Ethics
Commission's decision will be transmitted in writing to the involved official and be a matter o
public record. If the Ethics Commission finds that participation would be inappr priate, the
involved ofticial will not participate.
C. Outside emolovment restrictions. Except as permitted by other provisions of this Ord ance or b,
ruling or regulation of the Commission when such interest is disclosed or when the mploymen
does not create a conflict of interest or appearance of conflict, a St. Mary's Coun official oi
employee may not:
1. Be empbyed by or have a financial interest in any business entity subject to his/h r authorit}
or that of the St. Mary's County agency, board or commission with which he/she is affiliate<
or any entity which is negotiating or has entered into a contract with that agen , board oi
commission; or
2. Hold any employment relationship or have a financial interest which would impair the
impaRiality or independence ofjudgment of the official or employee.
3. The prohibitions in paragraphs 1. and 2. do not apply to:
a. An official or employee who is appointed to a regulatory or licensing author' pursuani
to a requirement that persons subject to the jurisdiction of such authority be epresented
in appointments to it;
b. An official or employee whose duties are ministerial and not imolved with t e decision
making processes of the agency, board or commission, if the private emp oyment or
financial interest does not create a conflict of interest or an appearance of conflict o1
interest, as permitted and in accordance with the regulations adopt d by the
Commission.
C. Subject to other provisions of law, including Section 5 of this Ordinance, a y membei
of a board or commission in regard to a financial interest or employment hel at the time
of appointment, provided that it is publicly disclosed to and approved by the appointing
authority and the Commission.
4. The prohibitions in pazagraph 1. above do not apply to volunteer members of oazds and
commissions.
D. Solicitation or acceptance of aifrs. A St. Mary's Counry official or employee shall not:
l. Solicit any gifr nor knowingly accept any giR, directly or indirectly, from any person or
business entity that he/she knows or has reason to know:
a. Is doing business with the office, agency, board or commission with which s ch official
or employee is affiliated; or
b. Has an interest that may be substantially and materially af ected, in
manner distinguishable from that of the public generally, by the perf rmance or
nonperformance of his/her official duty.
2. However, unless a gift of any of the following would tend to impair the impartial ty and the
independence of judgment of the official or employee receiving it or, if of signifiant value,
would give the appearance of doing so, or, if of significant value, the recipient official or
employee believes or has the reason to believe that it is designed to do so, an official or
employee may accept:
a. Meals and beverages;
b. Ceremonial gifts or awards which have no significant monetary value;
c. Unsolicited gifts of nominal value or trivial items of informational
value;
d. Reasonable expenses for food, travel, lodging and scheduled entertaimm nt of the
official or the employee for a meeting which is given in retum for partici ation in a
panel or speaking engagement at the meeting;
e. Gifts of tickets or free admission extended to an elected official or employee~o attend a
professional or intercollegiate sporting event or charitable, cultural or politic events, if
the purpose of this gift or admission is a courtesy or ceremony extended to th office;
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St. Mary's County Ethics Ordinance
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f Gifts from a person related by blood or marriage or a spouse, child, ward, financially
dependent parent or other relative who shazes the official's or empl yee's legal
residence, or a child, ward, parent or other relative over whose financial affairs the
person has legal or actual control; or
g. Honoraria, except as provided in subparagraph h. of this Section.
h. Exceptions.
(1) Except as provided in paragraph (2) of this subparagraph, fficials or
employees may not accept honoraria if:
(a) The Payor has an interest that may be substantially and materially a ected, in a
manner distinguishable from the public generally, by the perf rmance or
nonperformance of the recipient's official duty; and
(b) The offering of the honorarium is in any way related to the individ al's official
position.
(2) The prohibition under this subsection does not apply to:
(a) The payment of or reimbursement for reasonable expenses for t e official's
meals, travel and lodging actually incurred by the official in s aking to,
participating in or attending a meeting conference or other fun tion or in
writing an article, other than a book, that has been or is inte ded to be
published; or
(b) Acceptance or receipt of gifts described under subsection 2.b. an c. of this
Section.
E. General restrictions. A St. Mary's County official or employee shall not:
l. Use the prestige of his/her office or employment for his/her financial benefit or tt
or for the financial benefit of any business entity in which he/she has a financial
2. Represent a person before or imolving any St. Mary's county agency, board or co
3. Except when any such representation is on a contingent fee basis, the p
subparagraph 2, above, does not apply to any volunteer member of a board or
provided, however, that no volunteer member shall assist or represent any p
matter before or involving the board or commission with which they are affili:
or not compensated.
4. Within one year following termination of County service, act as a compensated r
of another in connection with any specific matter in which he/she participated
as a county official or employee.
5. Other than in the discharge of his/her official duties, use confidential information
his/her official counry position for his/her own benefit or that of another.
TION 6. - FINANCIAL DISCLOSURE
A. The following boards, commissions and committees, including ad hoc committees an
appointed by the Board of County Commissioners or by any other board or commis
officials, employees and candidates for office as such when the positions aze elective
to file the financial disclosure statements as provided in this section. If the official ti
the boards, commissioners or individuals listed below is changed, those persons 1
same function shall be required to file financial disclosure statements as provided in t
Elected Officials and Employees of St. Mary's County
a. Boazd of Counry Commissioners
b. County Treasurer
c. County Administrator
d. Deputy County Administrator
e. County Attorney
f. Assistant County Attomey
g. Director of Finance
h. Director, Department of Human Resources
i. Procurement Officer
ofanother
terest.
mssion
hibition in
mmission;
on in any
9, whether
esentative
bstantially
tcquired in
task forces
on, and the
re required
e of any of
Ifilling the
s section.
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St. Mary's County
7 of 9
j. Director, Department of Public Works
k. Director, Office of Capital Projects
1. Director, Economic and Community Development
m. Director, Office on Aging
n. Director, Emergency Management Agency
o. Director, Planning and Zoning
p. Director, Recreation and Pazks
q. Director, Office of Community Services
r. Director, Emergency Communications
s. Director, Permits and Inspections
t. Director, Information and Technology
u. Board of Education
v. Alcohol Beverage Board
w. Housing Authority
x. Metropolitan Commission
y. Planning Commission
z Zoning Board of Appeal
aa. Ethics Commission
2. Appointees to Voluntary Boards and Commissions:
a. Agricultural Preservation Advisory Board
b. Historic Preservation Board
c. Economic Development Commission
d. Electrical Examiners Board
e. Plumbing Board
f Recreation and Parks Advisory Board
g. Building Authority Commission
h. Members of ad-hoc committees providing advice and/or ecommendation regarding
acquisition, zoning or designation of land, whether appointed by the Boar of County
Commissioners or appointed by other local govemment boazds or c mmissions
authorized to make such appointments.
B. Any person who is newly appointed to an employee position listed in Subsection A bove shall,
together with acceptance of employment, £ile a 5nancial disclosure statement co taining the
necessary information for the calendar year immediately preceding the official appoin ment date.
C. All members of boards, commissions and committees listed in Subsection A abo e, and all
members of ad hoc committees and task forces providing advice and/or recom endations
regarding acquisition, zoning or designation of land, whether appointed by the Boar of Counry
Commissioners or appointed by other local govemment boards or commissions au horized to
make such appointments, shall, together with the member's acceptance letter, submi a financial
disclosure statement which shall include disclosure of any and all potential conflict of interest
that may be foreseeable as a result of accepting the board, commission or committee
appointment.
D. Candidates for elected office shal) simultaneously file a financial disclosure stateme~t with the
candidate's registration of candidacy for office with the St. Mary's County Board of upervisors
of Elections.
E Thereafter, the officials, candidates, appointees and employees identified in Subsecti n A hereof
shall all file the required statement with the Ethics Commission on or before the 30th ay of April
of each year for the calendar year immediately preceding during any part of which he official,
appointee or employee held an office or position or was a candidate for office.
F. Upon leaving office:
Any official or employee who leaves an office identified in Subsection A for
except the official's death, shall within thirty (30) days afier the departure date fi
disclosure statement covering any period or periods for which the official or emp
filed such a statement, including all required information up to the date of departi
ry reason,
a financial
vee has not
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St. Mary's County Ethics Ordinance
Pag 8 of 9
2. An official or employee who leaves one office identified in Subsection A hereof for another
such office shall not be required to file a financial discloswe statement in acco dance with
Subsection A above if the official or employee has filed the currently required atement in
the former position or office.
G. AII financial disclosure statements required by this section shall be on a form proided by the
Commission and shall be signed and sworn to before a notary public by the person required to
file. Elected officials and employees of St. Mary's Counry listed in Subsection 6 xl) shall
disclose the information concerning the interests of said person a described in Su paragraphs
6(G)(1) through 6(G)(5) below. Appointees to voluntary boazds and commissio listed in
Subsection 6(A)(2) shall disclose only those interests as described in Subparagra hs 6(G)(1)
through 6(G)(5) below that create a relationship, direct or indirect, lease or contra t, with the
board, committee, or commission for which the person is a member.
1. Interests in real property.
a. A listing of all real property, wherever located, in which the person has n interest,
including the location of the property by either street address, mailing address or
otherwise, and also including its size in acres or square footage or its dimens ons;
b. The nature of the property (whether residential, commercial, industrial, et and the
extent of the interest held, including any conditions thereto and encumbran es thereon;
i.e., moRgages, liens, life estate, reversionary interest, etc.; and
c. The identity of any other person with an interest in the property.
2. Interests in business entities.
a. The name and address of all business entities in which a financial interest as defined
herein was held at any time during the reporting period, whether or not t e business
entiry does business with the county.
b. If any business entity listed in response to the reporting requirement in ubsection
G(2)(a) above is either doing business with the county or doing business in t county or
is the owner of real property in the counry, then the names and addresses of ]t partners,
shareholders or other investos holding a five percent (5%) or greater owner hip interest
in such entity or entities shall be listed if legally and reasonably ascertain ble. Such
disclosure shall not be required where the business entiry is a publicty hel company
traded on a national stock exchange.
3. Gifts received during the reporting period from persons or business entities doi g business
with the county and as to each such gift the nature and value thereof, the identity f the donor
from whom or on behalf of whom, directly or indQectly, it was received and if given to
another person at the direction of the official or employee required to file, the ide tity of that
person.
4. Any offce, directorship, partnership or salaried employment in any business ntity held
during the reporting period other than those listed in response to Subsections G( ) and G(3)
above in which an interest was held.
5. The name and address of any person to whom or entity to which the off5cial or e ployee was
indebted at any time during the reporting period. For the purpose of this subsection,
"indebtedness" does not include retail credit accounts or any liability of less than $,000.
H. When April 30 or any other deadline for filing in this Section falls on a Saturday, Sun ay or legal
holiday, the financia l disclosure filing date shall be extended to the next working day.
SECTION 7.- PUBLIC INSPECTION
All statements, registrations and reports filed pursuant to this Ordinance shall be mainta ed by the
Commission and shall be made available during normal office hours for examination and copy ng by the
public, subject, however, to such reasonable fees and administrative procedures as the Comm ssion may
establish from time to time. These documents shall be retained for four (4) years from the date of re eipt.
Any person examining and/or copying a financial disclosure statement shall be require to record
his/her name, telephone number, home address and the name of the person whose financial discbsure
statement was examined and/or copied. This record shall be forwazded to the person whose financia disclosure
statement is so examined or copied.
SF.CTION S.- LOBBYING DISCLOSURE
A. Any person who lobbies a St. Mary's County official or employee and who, in conn ction with
such lobbying, expends or reasonably expects to expend in a given calendar year i excess of
$500 on gifts, including but not limited to meals, tickets, admission passes, awards honoraria
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St. Mary's County Ethics Ordinance
Pag 9 of 9
for county officials and/or employees, shall file a registration statement with the Co mission not
later than seven (7) days of the first of the two above alternatives to occur.
B. The registration statement shall include identification of the registrant by name, ccupation,
mailing address and telephone number and similar information about the person on hose behalf
the registrant is acting. It shall also identify the subject matter about which the r gistrant is
lobbying.
C. Registrants under this Section shall file a written report by April 15 following any c endar year
during which they were registered disclosing the value, date and nature of any gifts, i cluding but
not limited to meals, tickets or admission passes, awards or honoraria provided to County
officials and/or employees during the preceding calendar year. The official or emplo ee shall be
identified by name and official title.
SECTION 9.- ENFORCEMENT
A. The Commission may issue a cease and desist order against any person found to be in iolation of
this Ordinance and may seek enforcement of such order in the Circuit Court for St. Mary's
County. The Court may issue a cease and desist order and may also impose a fine or 'vil penalty
of up to $500 for any violation of the provisions of this Ordinance.
B. On recommendation of the Commission, a County official or employee found to haf+e violated
this Ordinance may be subject to disciplinary or other appropriate personnel action. I
C. The Commission may issue letters of reprimand.
SECTION 10. - EFFECT OF ADOPTION
The above and preceding is adopted to have [he full force and effect of law in St. Mary's C
THOSE VOTING AYE: Randall, Guazzo, Mattingly, Raley
THOSE VOTING NAY: Anderson
ADOPTED THIS DATE: May 29, 2001
EFFECTNE THIS DATE: May 29, 2001
ATTEST:
Alfred A. Lacer
County Administrator
Approved as to form and legal
sufficiency:
Patrick B. Murphy, Counry Attorney
BOARD OF COUNTY COMMISSIONERS
ST. MARY'S COUNTY, MARYLAND
Commissioner President Julie B. Randall
Commissioner Joseph F. Anderson
Commissioner Shelby P. Guazzo
Commissioner Thomas A. Mattingly, Sr.
Commissioner Daniel H. Raley
1_ 74
Sunnyvale, CA.
175
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Paqe
Printable Version (.doc)
Code of Ethics and Conduct for Elected and Appointed Officials
0F 5 UN/V,~
w,\V+ O-~►Rg
City of Sunnyvale
2009 Code of Ethics and Conduct for
Elected and Appointed Officials
"Conduct is three-fourths of our life and its largest concern.'
Matthew Arno/d
17 q-
Table of Contents
Title
A. Ethics
B. Conduct
1. Elected and Appointed Officials' Conduct with One Another
2. Elected and Appointed Officials' Conduct with Citv Staff
3. Elected and Appointed Officials' Conduct with the Public
4. Council Conduct with Other Public Aqencies
5. Council Conduct with Boards and Commissions
6. Conduct with the Media
C. Sanctions
D Principles of Proper Conduct
E Checklist for Monitoring Conduct
F. Glossary of Terms
G. Implementation
For ease of reference in the Code of Ethics and Conduct, the term "member"
member of the Sunnyvale City Council or the City's boards and commissions es
City Charter, City Ordinance or Council policy.
Policy Purpose
The Sunnyvale City Council has adopted a Code of Ethics and Conduct for me bers
Council and the City's boards and commissions to assure public confidence i the
local government and its effective and fair operation.
A. ETHICS
The citizens and businesses of Sunnyvale are entitled to have fair, ethical and ccour
government which has earned the public's full confidence for integrity. In keepin with
Sunnyvale Commitment to Excellence, the effective functioning of democ tic c
therefore requires that:
§
§
§
public officials, both elected and appointed, comply with both the letter and
laws and policies affecting the operations of government;
public officials be independent, impartial and fair in their judgment and act ons;
public office be used for the public good, not for personal gain; and
public deliberations and processes be conducted openly, unless legally onfil
atmosphere of respect and civility.
3
5
5
7
9
1
1
1
1
1
1
1
1
to any
e by the
3grity he City
of
e local
City of
•nment
of the
in an
177
To this end, the Sunnyvale City Council has adopted a Code of Ethics and Condi
of the Ciry Council and of the City's boards and commissions to assure public c,
integrity of local government and its effective and fair operation. The Ethics seci
Code of Ethics and Conduct provides guidance on ethical issues and questic
wrong.
for
denc in the
of th City's
of ri ht and
1. Act in the Public Interest. Recognizing that stewardship of the public inter t must e their
primary concern, members will work for the common good of the people o Sunny le and
not for any private or personal interest, and they will assure fair and equal treatm t of all
persons, claims and transactions coming before the Sunnyvale City Cou cil, boa s and
commissions.
2. Comply with both the spirit and the letter of the Law and City Policy. Memb rs shall comply
with the laws of the nation, the State of California and the City of S nnyval in the
performance of their public duties. These laws include, but are not limite to: th United
States and California constitutions; the Sunnyvale City Charter; laws perta ning to onflicts
of interest, election campaigns, financial disclosures, employer responsib lities, a d open
processes of government; and City ordinances and policies.
3. Conduct of Members. The professional and personal conduct of inember must b above
reproach and avoid even the appearance of impropriety. Members shall ref in from busive
conduct, personal charges or verbal attacks upon the character or otives f other
members of Council, boards and commissions, the staff or public.
4. Respect for Process. Members shall perform their duties in accordance willi h the pr cesses
and rules of order established by the City Council and board and commi sions g verning
the deliberation of public policy issues, meaningful involvement of he pu ic, and
implementation of policy decisions of the City Council by City staff.
5. Conduct of Public Meetings. Members shall prepare themselves for pu lic issu ; listen
courteously and attentively to all public discussions before the body; a d focu on the
business at hand. They shall refrain from interrupting other speakers; aking ersonal
comments not germane to the business of the body; or otherwise interferin with th orderly
conduct of ineetings
6. Decisions Based on Merit. Members shall base their decisions on the meri s and s bstance
of the matter at hand, rather than on unrelated considerations.
7. Communication. Members shall publicly disclose substantive information th t is rele ant to a
matter under consideration by the Council or boards and commissions, which t ey may
have received from sources outside of the public decision-making process.
8. Conflict of Interest. In order to assure their independence and impartiality
common good, members shall not use their official positions to influE
decisions in which they have a material financial interest, or wher
organizational responsibility or personal relationship which may give the
conflict of interest. In accordance with the law, members shall discl
interests in real property, sources of income, and gifts; and they sl
participating in deliberations and decision-making where conflicts may exis
9. Gifts and Favors. Members shall not take any special advantage of service
for personal gain, by virtue of their public office, that are not availablE
general. They shall refrain from accepting any gifts, favors or promises
which might compromise their independence of judgment or action or giv
of being compromised.
on beh If of the
ice go rnment
they ave an
aoDear ce of a
in from
or opp rtunities
to the ublic in
f futur benefits
the ap earance
179
10. Confidential Information. Members shall respect the confidentiality of inform tion co erning
the property, personnel or affairs of the City. They shall neither discl se con dential
information without proper legal authorization, nor use such information t advan e their
personal, financial or other private interests.
11. Use of Public Resources. Members shall not use public resources not avail ble to th public
in general, such as City staff time, equipment, supplies or facilities, for private ain or
personal purposes.
12. Representation of Private Interests. In keeping with their role as stewar s of th public
interest, members of Council shall not appear on behalf of the private i terests f third
parties before the Council or any board, commission or proceeding of th City, n r shall
members of boards and commissions appear before their own bodies or b fore the ouncil
on behalf of the private interests of third parties on matters related to the ar as of s ice of
their bodies.
13. Advocacy. Members shall represent the official policies or positions of t
e City
ouncil,
board or commission to the best of their ability when designated as d
legates
or this
purpose. When presenting their individual opinions and positions, membe
s shall
plicitly
state they do not represent their body or the City of Sunnyvale, nor wil
they a
ow the
inference that they do. Councilmembers and board and commission memb
rs have
e right
to endorse candidates for all Council seats or other elected offices. It is
inappro
riate to
mention or display endorsements during Council meetings, board/commiss
on mee
ngs, or
other official City meetings.
14. Policy Role of Members. Members shall respect and adhere to the
ouncil-
anager
structure of Sunnyvale City government as outlined by the Sunnyvale Cit
Charte
In this
structure, the City Council determines the policies of the City with the ad
ice, inf
mation
and analysis provided by the public, boards and commissions, and City
staff. E
ept as
provided by the City Charter, members therefore shall not interfere with t
e admi
strative
functions of the City or the professional duties of City staff; nor shall they im
air the
bility of
staff to implement Council policy decisions.
15. Independence of boards and commissions. Because of the value of the ind
penden
advice
of boards and commissions to the public decision-making process, me
bers of
ouncil
shall refrain from using their position to unduly influence the deliberations
or outc
mes of
board and commission proceedings.
16. Positive Work Place Environment. Members shall support the maintenance
f a posi
ive and
constructive work place environment for City employees and for citizens
and bu
nesses
dealing with the City. Members shall recognize their special role in d
alings Mf
ith City
employees to in no way create the perception of inappropriate direction to s
aff.
B. CONDUCT
The Conduct section of the City's Code of Ethics and Conduct is designed to
manner in which Councilmembers and board and commission members should t ea
City staff, constituents, and others they come into contact with in represe tin
Sunnyvale. It reflects the work of a Council Policy and Protocol Subcommittee t a1
with defining more clearly the behavior, manners, and courtesies that are sui ak
occasions. The Subcommittee also considered a wide variety of policy changes ni
designed to make public meetings and the process of governance run more smo th
The constant and consistent theme through all of the conduct guid
Councilmembers experience huge workloads and tremendous stress in m
could impact thousands of lives. Despite these pressures, elected and aF
des ibe the
t one nother,
g the City of
: was harged
ile for various
J clari cations
ly.
is " spect."
decisi ns that
d offi ials are
179
called upon to exhibit appropriate behavior at all times. Demonstrating respect fo each
through words and actions is the touchstone that can help guide Councilmember and
commission members to do the right thing in even the most difficult situations.
1. Elected and Appointed Officials' Conduct with One Another
dual
and
"In life, courtesy and self-possession, and in the arts, style, are the sensible imp essions f the
free mind, for both arise out of a deliberate shaping of all things and from neve being ept
away, whatever the emotion, into confusion or dullness. "
William Butler Yeats
Elected and appointed officials are composed of individuals with a wide variety f back ounds,
personalities, values, opinions, and goals. Despite this diversity, all have ch en to rve in
public office in order to preserve and protect the present and the future of the mmuni . In all
cases, this common goal should be acknowledged even though individuals may "a ree to
disagree" on contentious issues.
1(a). In Public Meetings
Use formal titles
Elected and appointed officials should refer to one another formally during publi meetin , such
as Mayor, Vice Mayor, Chair, Commissioner or Councilmember followed by the individu I's last
name.
Practice civility and decorum in discussions and debate
Difficult questions, tough challenges to a particular point of view, and criticis of id s and
information are legitimate elements of a free democracy in action. This does not allow, h wever,
public officials to make belligerent, personal, impertinent, slanderous, threaten ng, abu ive, or
disparaging comments. No shouting or physical actions that could be construe as thr tening
will be tolerated.
Honor the role of the chair in maintaining order
It is the responsibility of the chair to keep the comments of inembers on tra
k durin
public
meetings. Members should honor efforts by the chair to focus discussion on
current
genda
items. If there is disagreement about the agenda or the chair's actions, those o
jection
should
be voiced politely and with reason, following procedures outlined in parliamentary
procedu
e.
Avoid personal comments that could offend other members
If a member is personally offended by the remarks of another member, the o
ended
ember
should make notes of the actual words used and call for a"point of person
I privile
e" that
challenges the other member to justify or apologize for the language used. The c
air will
aintain
control of this discussion.
Demonstrate effective problem-solving approaches
Members have a public stage to show how individuals with disparate points
view
f
n find
common ground and seek a compromise that benefits the community as a wholei
Outside of official board or commission meetings, individual board and commissi n mem rs are
not authorized to represent the City or their board or commission unless specifi ally de gnated
by the Council or the board or commission to do so for a particular purpose. In private ttings,
board and commission members may communicate at any time and on a y subj t with
individual members of the City Council, and may express to them individual viewpoi ts and
opinions. In public, however, all members shall represent the official policies or ositions f their
board or commission, with the following exception. During a Council public hea ing on y item
addressed by the board or commission, any member may speak under standar time li its, but
shall indicate whether their testimony represents an official position (majori opinio ) or a
1810
minority opinion of the board/commission to which they belong. The chair sr
majority view of the board or commission, but may report on any minority views
his or her own. When an official board or commission position differs from staff's
on a particular policy issue, then at the Mayor's discretion additional time may C
chair of the board or commission (or his/her designee) to explain the
board/commission or to rebut statements made by staff or the public. If ne
brought to light during a public hearing which was not shared previously m
commission, the Mayor may allow the board or commission chair to respon
deems the new information sufficient to warrant additional study, then by majc
may remand the issue back to the board or commission for further study pric
action itself.
well,
it the
uding
provid to the
osition of the
infor tion is
i the ard or
If the ouncil
ry vote ouncil
to taki q other
Individual opinions and positions may be expressed by board and comm ssion ryi mbers
regarding items that have not come before the particular board/commission to w ich they belong.
When presenting their individual opinions and positions, members shall explicitly tate the do not
represent their body or the City of Sunnyvale, nor will they allow the inference tha they d
Although a board or commission may disagree with the final decision the Co ncil ma es, the
board or commission shall not act in any manner contrary to the established p licy ad ted by
the Council.
1(b). In Private Encounters
Continue respectful behavior in private
The same level of respect and consideration of differing points of view that is
for public discussions should be maintained in private conversations.
Be aware of the insecurity of written notes, voicemail messages, and E-mail
Technology allows words written or said without much forethought to be distribu ed wide nd far.
Would you feel comfortable to have this note faxed to others? How would you fe I if this v icemail
message were played on a speaker phone in a full office? What would happ n if thi E-mail
message were forwarded to others? Written notes, voicemail messages and -mail s uld be
treated as potentially "public" communication.
Even private conversations can have a public pr sence
Elected and appointed officials are always on display - their actions, manneris s, and I nguage
are monitored by people around them that they may not know. Lunch table con ersation will be
eavesdropped upon, parking lot debates will be watched, and casual co ments efinreen
individuals before and after public meetings noted.
In private, board and commission members may communicate at any time an~ on an~ subject
with the City Council, and may express to Council individual viewpoints and opini ns.
2. Elected and Appointed Officials' Conduct with Citv Staff
"Never let a problem become an excuse. "
Robert Schuller
Governance of a City relies on the cooperative efforts of elected officials,
appointed officials who advise the elected, and City staff who implements anc
Council's policies. Therefore, every effort should be made to be cooperative E
respect for the contributions made by each individual for the good of the commur
Treat all staff as professionals
Clear, honest communication that respects the abilities, experience, and dignity
is expected. Poor behavior towards staff is not acceptable.
who se policy,
admini ers the
nd sho mutual
ity.
f each i~dividual
18 1
Member questionslinquiries to City staff
1. General. Council and board/commission communications with City staff
normal City business hours unless the circumstances warrant other
Council questions posed outside of normal business hours should be
than the next business day.
ild be li~ited to
Resno ses to
earlier
2. Routine Reauests for Information and InQUiries. Members may contact taff dir tly for
information made readily available to the general public on a regular basis (e.g., " hat are
the library's hours of operation?" or "How does one reserve a tee time at th golf c rse?").
Under these circumstances staff shall treat the member no differently tha they w uld the
general public, and the member shall not use their elected status to se ure pre rential
treatment. The city manager does not need to be advised of such contacts.
3. Non-Routine Requests for Readilv Available Information. Members may a so cont ct staff
directly for easily retrievable information not routinely requested by the gene I public o long
as it does not require staff to discuss the issue or express an opinion (e.g., " ow mariy traffic
lights are there in the City?" or "Under what circumstances does the City low r its flag to half
mast?")
4. Non-Routine Repuests Re4uiring Special Effort. Any member request or inq
iry that
quires
staff to compile information that is not readily available or easily retriev
ble an
or that
requests staff to express an opinion (legal or otherwise) must be directed to t
e city
nager,
or to the city attorney, as appropriate (e.g., "How many Study Issues comple
d over
e past
five years have required 500 or more hours of staff time?", or "What is the
logic be
ind the
City's sign ordinances affecting businesses along EI Camino Real?"). The
ity man
ger (or
city attorney as appropriate) shall be responsible for distributing such reques
s to his/
er staff
for follow-up. Responses to such requests shall be copied to all Co
ncilme
ers (if
originating from a Councilmember), relevant board or commission memb
rs (if ori
inating
from a board or commission member), the city manager, the city attorney as
appropr
te and
affected department directors.
5. Meeting Requests. Any member request for a meeting with staff must be di
cted to
he city
manager or city attorney, as appropriate.
6. Public Safetv Restrictions. Under certain circumstances, requests for infor
ation r
arding
operations or personnel of the Department of Public Safety may be I
gally r
tricted.
Applicable statutes include: The Peace Officers' Procedural Bill of R
hts (
lifornia
Government Code Section 3300, et seq.), Confidentialit of Peace Officer Re
ords (
lifornia
Penal Code Section 832.5-7), and a number of exceptions to the Californi
Public
ecords
Act, defined in Government Code Section 6254. Providing information in r
sponse
o such
requests could violate the law, and might also violate due process rights
that ha
e been
defined for peace officers in the State of California. Accordingly, it shall be
he poli
of the
City of Sunnyvale to strictly comply with all applicable legal authorities gove
ning the
release
of Department of Public Safety information and records.
Do not disrupt City staff from their jobs
Elected and appointed officials should not disrupt City staff while they are in eetings on the
phone, or engrossed in performing their job functions in order to have their indiv dual ne s met.
Do not attend City staff meetings unless requested by staff - even if the elec ed or a pointed
official does not say anything, his or her presence implies support, shows part ality, int idates
staff, and hampers stafFs ability to do their job objectively.
Never publicly criticize an individual employee
Elected and appointed officials should never express concerns about the perfo mance f a City
employee in public, to the employee directly, or to the employee's manager. ommen about
189
staff performance should only be made to the city manager through private co esponc
conversation. Comments about staff in the office of the city attorney should be ade di
the city attorney. Appointed officials should make their comments regarding taff to
manager or the Mayor.
Do not get involved in administrative functions
Elected and appointed officials must not attempt to influence City staff on the
appointments, awarding of contracts, selecting of consultants, processing f d
applications, or granting of City licenses and permits. [See Code of Ethics] The Sur
Charter, Section 807, also contains information about the prohibition of Counci inti
administrative functions.
B or
y to
city
ng of
)ment
in
Check with City staff on correspondence before taking action
Before sending correspondence, Councilmembers should check with City staff to see if a official
City response has already been sent or is in progress. Board and commission m mbers all not
send correspondence except as authorized under the City's policies gover ing vol nteers.
(Council Policv 7.2.19, Boards and Commissions.)
Limit requests for staff support
Routine secretarial support will be provided to all Councilmembers. The C uncil E cutive
Assistant opens all mail for Councilmembers, unless a Councilmember request other
arrangements. Mail addressed to the Mayor is reviewed first by the city man ger wh notes
suggested action and/or follow-up items.
Requests for additional staff support - even in high priority or emergency situati ns - s uld be
made to the city manager who is responsible for allocating City resources in or er to m ntain a
professional, well-run City government.
Do not solicit political support from staff
Elected and appointed officials should not solicit any type of political s pport (11 nancial
contributions, display of posters or lawn signs, name on support list, etc.) from Ci staff. ity staff
may, as private citizens with constitutional rights, support political candidat s but II such
activities must be done away from the workplace.
3 Elected and Apaointed Officials' Conduct with the Public
"If a man be gracious and courteous to strangers, it shows he is a citizen of the orld, a that
his heart is no island cut off from other lands, but a continent that joins t them. "
Francis Bacon
3(a). In Public Meetings
Making the public feel welcome is an important part of the democratic proc ss. No igns of
partiality, prejudice or disrespect should be evident on the part of individual me bers to ard an
individual participating in a public forum. Every effort should be made to be fair and im rtial in
listening to public testimony.
Be welcoming to speakers and treat them with care and gentleness. Wh7e ques 'ons of
clarification may be asked, the official's primary role during public testimony is to isten.
"I give many public presentations so standing up in front of a group and using a icropho e is not
new to me. But I found that speaking in front of Council was an entirely different xperien . I was
incredibly nervous and my voice was shaking. I think the reason was because e issu was so
personal to me. The Council was going to take a vote that would affect my fami y's daily life and
my home. I was feeling a lot of emotion. The way that Council treats peo le durin public
hearings can do a lot to make them relax or to push their emotions to a higher le el of int sity."
183
Be fair and equitable in allocating public hearing time to individual speakers.
"The first thing the Mayor said to me was to be brief because the meeting was
the Council was eager to go home. That shouldn't be my problem. I'm sorry my
end of the agenda and that there were a lot of speakers, but it is critically impoi
should be allowed to say what I have to say and believe that the Council is listeni
The chair will determine and announce limits on speakers at the start of th
process. Questions should not be asked for the express purpose of allowing
evade the time limit imposed on all others (e.g., "Was there something else you i
Generally, each speaker will be allocated three minutes with applicants and al
designated representatives allowed ten. If many speakers are anticipated, the c
the time limit and/or ask speakers to limit themselves to new information and p
already covered by previous speakers.
unning te and
item w at the
ant to e and I
gtome"
public earing
one sp aker to
anted t say?").
pellants or their
air may horten
~ints of iew not
No speaker will be turned away unless he or she exhibits inappropriate behavi r. Each peaker
may only speak once during the public hearing unless the chair requests additi nal cla fication
later in the process. After the close of the public hearing, no more public t stimony will be
accepted unless the chair reopens the public hearing for a limited and specific pu pose.
Give the appearance of active listening
It is disconcerting to speakers to have members not look at them when they a speak g. It is
fine to look down at documents or to make notes, but reading for a long period i time o gazing
around the room gives the appearance of disinterest. Be aware of facial expres ions, e ecially
those that could be interpreted as "smirking," disbelief, anger or boredom.
Maintain an open mind
Members of the public deserve an opportunity to influence the thinking of electe and a pointed
officials. To express an opinion or pass judgment prior to the close of a public he ring cas s doubt
on a member's ability to conduct a fair review of the issue. This is particularly importa t when
officials are serving in a quasi-judicial capacity.
Ask for clarification, but avoid debate and argument with the public
Only the chair - not individual members - can interrupt a speaker during a pres ntation.
However, a member can ask the chair for a point of order if the speaker is off the opic or
exhibiting behavior or language the member finds disturbing.
If speakers become flustered or defensive by questions, it is the responsibility of he chai to calm
and focus the speaker and to maintain the order and decorum of the meetin . Ques ons by
members to the public testifying should seek to clarify or expand informa ion. It i never
appropriate to belligerently challenge or belittle the speaker. Members' pers nal opi ions or
inclinations about upcoming votes should not be revealed until after the public he ring is osed.
No personal attacks of any kind, under any circumstance
Members should be aware that their body language and tone of voice, as well a the wo ds they
use, can appear to be intimidating or aggressive.
Follow parliamentary procedure in conducting public meetings
The city attorney serves as advisory parliamentarian for the City and is ava lable to answer
questions or interpret situations according to parliamentary procedures. The ch ir, subje t to the
appeal of the full Council or board/commission makes final rulings on parliament ry proce ure.
3(b). In Unofficial Settings
Make no promises on behalf of the Council, board/commission or City
Members will frequently be asked to explain a Council or board/commission actic
opinion about an issue as they meet and talk with constituents in the community
n or to ve their
It is ap opriate
to give a brief overview of City policy and to refer to City staff for further i
inappropriate to overtly or implicitly promise Council or board/commission actio
City staff will do something specific (fix a pothole, remove a library book, plant n
median, etc.).
or to
Make no personal comments about other members
It is acceptable to publicly disagree about an issue, but it is unacceptable to ake
comments about other members, their opinions and actions.
Remember that despite its impressive population figures, Sunnyvale is a sm ll town
Members are constantly being observed by the community every day that the serve i
Their behaviors and comments serve as models for proper deportment in the Ci y of Su
Honesty and respect for the dignity of each individual should be reflected in very w
action taken by members, 24 hours a day, seven days a week. It is a serious and co
responsibility.
4. Council Conduct with Other Public Aqencies
"Always do right. This will gratify some people and astonish the
Mark Twain
Be clear about representing the City or personal interests
When representing the City, the Councilmember must support and advocate the offic
position on an issue, not a personal viewpoint. Outside of official board or comm ssion m
board and commission members are not authorized to represent the City o their b
commission unless specifically designated by the Council or the board or commi ion to c
a particular purpose.
It is
in the
heart
office.
,d and
inuous
I City
1ings,
ird or
so for
When representing another organization whose position is different from the C y, the
Councilmember should withdraw from voting on the issue if it significantl impac or is
detrimental to the City's interest. Councilmembers should be clear about which or anizati s they
represent and inform the Mayor and Council of their involvement.
Correspondence also should be equally clear about representation
City letterhead may be used when the Councilmember is representing the Cit and th City's
official position. A copy of official correspondence should be given to the C uncil E cutive
Assistant to be filed in the Council Office as part of the permanent public record.
City letterhead should not be used for non-City business nor for correspondenc repres nting a
dissenting point of view from an official Council position.
5. Council Conduct with Boards and Commissions
"We rarely find that people have good sense unless they agree with s. "
--Francois, Duc de La Rochefoucauld
The City has established several boards and commissions as a means of gatherin more
community input. Citizens who serve on boards and commissions become ore inv Ived in
government and serve as advisors to the City Council. They are a valuable reso rce to t City's
leadership and should be treated with appreciation and respect.
If attending a board or commission meeting, be careful to only express personal inions
Councilmembers may attend any board or commission meeting, which are alw ys ope to any
member of the public. However, they should be sensitive to the way their partici ation e ecially
if it is on behalf of an individual, business or developer could be viewed as unf irly affe ing the
process. Any public comments by a Councilmember at a board or commission m eting s uld be
~Sr
clearly made as individual opinion and not a representation of the feelings o the en re City
Council.
Limit contact with board and commission members to questions of clarification
It is inappropriate for a Councilmember to contact a board or commission me ber to I bby on
behalf of an individual, business, or developer, and vice versa. It is accept le for
Councilmembers to contact board or commission members in order to clarify a osition t ken by
the board or commission.
Remember ihat boards and commissions serve the community, not individual ouncil mbers
The City Council appoints individuals to serve on boards and commission , and i is the
responsibility of boards and commissions to follow policy established by the C uncil. B board
and commission members do not report to individual Councilmembe s, nor should
Councilmembers feel they have the power or right to threaten board and com ission mbers
with removal if they disagree about an issue. Appointment and re-appointme t to a ard or
commission should be based on such criteria as expertise, ability to work wi h staff nd the
public, and commitment to fulfilling official duties. A board or commission appoin ment sh uld not
be used as a political "reward."
Be respectful of diverse opinions
A primary role of boards and commissions is to represent many points of view i the co munity
and to provide the Council with advice based on a full spectrum of concerns a d pers ctives.
Councilmembers may have a closer working relationship with some individuals s rving o boards
and commissions, but must be fair and respectful of all citizens serving on boa s and
commissions.
Keep political support away from public forums
Board and commission members may offer political support to a Councilmem er, but ot in a
public forum while conducting official duties. Conversely, Councilmembers ma suppo board
and commission members who are running for office, but not in an official forum in their apacity
as a Councilmember.
6. Conduct with the Media
"Keep them well fed and never let them know that all you've got is a chair a~d a
Lion Tamer School
Board and commission members are not authorized to represent the City o tside o official
board/commission meetings unless specifically authorized to do so.
Councilmembers are frequently contacted by the media for background and quot s.
The best advice for dealing with the media is to never go "off the record"
Most members of the media represent the highest levels of journalistic integrity and eth s, and
can be trusted to keep their word. But one bad experience can be catastrophic Words hat are
not said cannot be quoted.
The Mayor is the official spokesperson for the City on City positions.
The Mayor is the designated representative of the Council to present and spe k on th official
City position. If an individual Councilmember is contacted by the media, the Council ember
should be clear about whether their comments represent the official City positi n or a ersonal
viewpoint.
Choose words carefully and cautiously
Comments taken out of context can cause problems. Be especially cautio s about humor,
sardonic asides, sarcasm, or word play. It is never appropriate to use person I slurs swear
186
words when talking with the media.
C. SANCTIONS
"You cannot have a proud and chivalrous spirit if your conduct is mean an paltry;
for whatever a man's actions are, such must be his spirit. "
Demosthenes
Public Disruption
Members of the public who do not follow proper conduct after a warning in a pu lic heari g may
be barred from further testimony at that meeting or removed from the Council Ch mbers.
Inappropriate Staff Behavior
Councilmembers should refer to the city manager any City staff or to the city a orney y City
Attorney's staff who do not follow proper conduct in their dealings with Council ember , other
City staff, or the public. These employees may be disciplined in accordance wi h stand rd City
procedures for such actions. (Please refer to the section on Council Conduct w th City taff for
more details on interaction with Staff.)
Councilmembers Behavior and Conduct
Compliance and Enforcement. The Sunnyvale Code of Ethics and Conduct expr
sses st
ndards
of ethical conduct expected for members of the Sunnyvale City Counc
I, boar
s and
commissions. Members themselves have the primary responsibility to ass
re that
ethical
standards are understood and met, and that the public can continue to have full c
nfidenc
in the
integrity of government. The chairs of boards and commissions and the Mayor a
d Coun
il have
the additional responsibility to intervene when actions of inembers that appear to
e in viol
tion of
the Code of Ethics and Conduct are brought to their attention.
City Councilmembers who intentionally and repeatedly do not follow proper
nduct
ay be
reprimanded or formally censured by the Council, lose seniority or committee as
ignmen
(both
within the City of Sunnyvale or with inter-government agencies) or have official
ravel re
tricted.
Serious infractions of the Code of Ethics or Code of Conduct could lead to ot
er sanc
ns as
deemed appropriate by Council.
Councilmembers should point out to the offending Councilmember infractions
of the
ode of
Ethics and Conduct. If the offenses continue, then the matter should be referred
to the
ayor in
private. If the Mayor is the individual whose actions are being challenged, then t
e matte
should
be referred to the Vice Mayor.
It is the responsibility of the Mayor to initiate action if a Councilmember's beha
ior may
arrant
sanction. If no action is taken by the Mayor, the alleged violation(s) can be broug
t up wit
the full
Council in a public meeting.
Board and Commission Members Behavior and Conduct
Counseling, verbal reprimands and written warnings may be administered by the
Mayor t
board
and commission members failing to comply with City policy. These lower levels o
sanctio
s shall
be kept private to the degree allowed by law. Copies of all written reprimands ad
inistere
by the
Mayor shall be distributed in memo format to the chair of the respective board or
ommis
on, the
city clerk, the city attorney, the city manager, and the City Council. Wri
en rep
mands
administered by the Mayor shall not be included in packets for public meetings
nd shal
not be
publicized except as required under the Public Records Act.
The City Council may impose sanctions on board and commission members who
e cond
t does
not comply with the City's policies, up to and including removal from office. Any f
rm of d
cipline
imposed by Council shall be determined by a majority vote of at least a quorum
f the C
ncil at
a noticed public meeting and such action shall be preceded by a Report
o Cou
P with
187
supporting documentation. The Report to Council shall be distributed in accorde
procedures, including hard copies to numerous public facilities and posting onlirn
Council addressing alleged misconduct by a board or commission member
through the Office of the city attorney for review of whether any information
disclosure (subject to redaction) based on privacy interests authorized under the
Act.
ice with normal
. Any R port to
;hall be routed
s exem t from
Public ecords
When deemed warranted, the Mayor or majority of Council may call for an inves
igation cil,
board
or commission member conduct. Should the city manager or city attorney believe
an inve
igation
is warranted, they shall confer with the Mayor or Council. The Mayor or Council
hall ask
he city
manager and/or the city attorney to investigate the allegation and report the findin
s.
The results of any such investigation shall be provided to the full Council in the
rm of
Report
to Council, and shall be placed on the agenda of a noticed public meeting as "In
"ormatioi-
i Only".
Any such report shall be made public and distributed in accordance with normal
rocedu
s(i.e.,
hard copies to numerous public locations and posted online). Any report to Co
ncil ad
essing
the investigation of board and commission members shall be routed through the
ffice of
he City
Attorney for review of whether any information is exempt from disclosure (subj
ct to re
action)
based on privacy interests authorized under the Public Records Act.
It shall be the Mayor and/or the Council's responsibility to determine the next ap ropriat action.
Any such action taken by Council (with the exception of "take no further ction") all be
conducted at a noticed public hearing. These actions include, but are not limit d to: di ussing
and counseling the individual on the violations; placing the matter on a futur public earing
agenda to consider sanctions; forming a Council ad hoc subcommittee to revie the all gation,
the investigation and its findings, as well as to recommend sanction opti ns for ouncil
consideration.
Under the City Charter, the City Council also may remove members of boards
from office. A violation of this Code of Ethics and Conduct shall not be cons
challenging the validity of a Council, board or commission decision.
D. PRINCIPLES OF PROPER CONDUCT
Proper conduct IS
§ Keeping promises
§ Being dependable
§ Building a solid reputation
§ Participating and being available
§ Demonstrating patience
§ Showing empathy
§ Holding onto ethical principles under stress
§ Listening attentively
§ Studying thoroughly
§ Keeping integrity intact
§ Overcoming discouragement
§ Going above and beyond, time and time again
§ Modeling a professional manner
Proper conduct IS NOT
§ Showing antagonism or hostility
§ Deliberately lying or misleading
§ Speaking recklessly
§ Spreading rumors
§ Stirring up bad feelings, divisiveness
§ Acting in a self-righteous manner
com issions
d a sis for
189
It all comes down to respect
Respect for one another as individuals respect for the validity of different
for the democratic process respect for the community that we serve.
E. CHECKLIST FOR MONITORING CONDUCT
o Will my decision/statemenUaction violate the trust, rights or good will of ott
o What are my interior motives and the spirit behind my actions?
o If I have to justify my conduct in public tomorrow, will I do so with pride or ;
o How would my conduct be evaluated by people whose integrity and chara
o Even if my conduct is not illegal or unethical, is it done at someone else's
Will it destroy their trust in me? Will it harm their reputation?
o Is my conduct fair? Just? Morally right?
s
I re
nful
o If I were on the receiving end of my conduct, would I approve and agree, I or wou
offense?
o Does my conduct give others reason to trust or distrust me?
o Am I willing to take an ethical stand when it is called for? Am I willing to
beliefs public in a way that makes it clear what I stand for?
o Do I exhibit the same conduct in my private life as I do in my public life?
o Can I take legitimate pride in the way I conduct myself and the example I:
o Do I listen and understand the views of others?
o Do I question and confront different points of view in a constructive manne
o Do I work to resolve differences and come to mutual agreement?
o Do I support others and show respect for their ideas?
o Will my conduct cause public embarrassment to someone else?
F. GLOSSARY OF TERMS
attitude
The manner in which one shows one's dispositions, opinio
behavior
External appearance or action; manner of behaving; carria
civility
Politeness, consideration, courtesy
conduct
The way one acts; personal behavior
courtesy
Politeness connected with kindness
decorum
Suitable; proper; good taste in behavior
manners
A way of acting; a style, method, or form; the way in which
point of order
An interruption of a meeting to question whether rules or t
broken, such as the speaker has strayed from the motior
consideration
point of personal
A challenge to a speaker to defend or apologize for c
privilege
fellow member considers offensive
propriety
Conforming to acceptable standards of behavior
protocol
The courtesies that are established as proper and correct
respect
The act of noticing with attention; holding in esteem; courti
G. IMPLEMENTATION
As an expression of the standards of conduct for members expected by the Cit,
Code of Ethics and Conduct is intended to be self-enforcing. It therefore becomE
when members are thoroughly familiar with it and embrace its provisions. For
document shall be included in the regular orientations for candidates for City Cc
to board and commissions, and newly elected and appointed officials. Membel
shall sign a statement affirming they read and understood the City of Sunnyvall
and Conduct. In addition, the Code of Ethics and Conduct shall be annually revi,
ke
I take
.thical
s, and elings
e of on self
hing ar done
ilaws a being
currentl under
mmentdl that a
the S nyvale
, most ffective
iis rea n, this
ncil, a licants
enteri office
Code Ethics
ved by he City
~ 819
Council, boards and commissions, and the City Council shall consider
boards and commissions and update it as necessary.
(Adopted: RTC 08-113 (4/8/08), Update: RTC 09-036 (2/3/09); Updated: RTC
Lead Department: Office of the Citv Manaqer
iendatiorlls from
7
1 9 r)
Villa Park, CA.
191
CITY OF VILLA PARK
ADMINISTRATIVE POLICY
Section 6-07 Code of Ethics and Values
PURPOSE
Good govemment requires that decision-makers and policy makers be inde
impartial, and accountable to the people they serve. The City of Villa Park ha adc
Code of Ethics and Values to promote and maintain the highest standards o pers
professional conduct in the pursuit of good govemment. All elected nd a
officials, City employees, volunteers, and others who participate in the city' goN
are required to subscribe to this Code, understand how it applies to their
responsibilities, and practice its eight core values in their work.
Because we seek public confidence in the City's services and public trust f its
makers, our decisions and our work must meet the most demanding ethical tani
demonstrate the highest levels of achievement in following this code.
1. As a Representative of the City of Villa Park, I will be ethical. In
this value looks like:
a. I am trustworthy, acting with the utmost integrity and moral c
b. I am truthful, do what I say I will do, and am dependable.
c. I make impartial decisions, free of bribes, unlawful gifts, n
interests, and financial and other personal interests th
independence of judgment or action.
d. I am fair, distributing benefits and burdens according to c
equitable criteria.
e. I extend equal opportunities and due process to all parti
under consideration. If I engage in unilateral meetings and
do so without making voting decisions.
f. I show respect for persons, confidences, and information ~
"confidential."
g. I use my title(s) only when conducting official City business, 1
purposes, or as an indication of background and exper
considering whether I am exceeding or appearing to exceed
2. As a Representative of the City of Villa Park, I will be
practice, this value looks like:
a. I apply my knowledge and expertise to my assigned activ
interpersonal relationships that are part of my job in
confident, competent, and productive manner.
b. I approach my job and work-related relationships with a pos
c. I keep my professional knowledge and skills current and grc
- 115 -
this
and
ment
and
row p litical
impa r my
isisterit and
; in rrl~tters
scussi ns, I
signatod as
infomfiation
s, ca ruiry
( auth rity.
sion . I n
and the
cons tent,
attit e.
9•
19 ?
CITY OF VILLA PARK
ADMINISTRATIVE POLICY
3. As a Representative of the City of Villa Park, I will be
practice, this value looks like:
a. I provide friendly, receptive, courteous service to everyone.
b. I am attuned to, and care about, the needs and issues of tizens,
officials, and co-workers.
c. In my interactions with constituents, I am interested, ngagei
responsive.
4. As a Representative of the City of Villa Park, I will be fiscally
practice, this value looks like:
a. I make decisions after prudent consideration of their financial mpact,
into account the long-term financial needs of the City, especia ly its fii
stability.
b. I demonstrate concern for the proper use of City assets (e. per;
time, property, equipment, funds) and follow established pro dures
c. I make good financial decisions that seek to preserve rograrr
services for City residents.
5. As a Representative of the City of Villa Park, I will be
practice, this value looks like:
a. I act in an efficient manner, making decisions and recomme
upon research and facts, taking into consideration short
goals.
b. I follow through in a responsible way, keeping others
responding in a timely fashion.
c. I am respectful of established City processes and guidelines.
6. As a Representative of the City of Villa Park, I will be
practice, this value looks like:
a. I convey the City's care for and commitment to its citizens.
b. I communicate in various ways that I am approachable, ope
willing to participate in dialog.
c. I engage in effective two-way communication, by listening ca
questions, and determining an appropriate response that E
conversations.
7. As a Representative of the City of Villa Park, I will be
practice, this value looks like:
- 116 -
In
iblic
and
fe I n
king
icial
~nel,
and
In
and
In
and
ally, bsking
s va ue to
In
193
CITY OF VILLA PARK
ADMINISTRATIVE POLICY
a. I act in a cooperative manner with groups and other indivi uals,
together in a spirit of tolerance and understanding.
b. I work towards consensus building and gain value from divers opinio
c. I accomplish the goals and responsibilities of my individual osition
respecting my role as a member of a team.
d. I consider the broader regional and statewide implications of the
decisions and issues.
8. As a Representative of the City of Villa Park, I will be progressivi. In
this value looks like:
a. I exhibit a proactive, innovative approach to setting goals and c
City's business.
b. I display a style that maintains consistent standards, but is al;
the need for compromise, "thinking outside the box," and impi
paradigms when necessary.
c. I promote intelligent and thoughtful innovation in order to forv
policy agenda and City services.
-117 -
sens
while
I City's
~Ictice,
I
Iig the
ive to
isting
II City's
194
Wendell. NC.
~ Q f--,
CODE QF ETHICS
TOWN OF WENDELL
ieos ~•y~
D t
~g .
~lb
Adopted by the Board of Commission
on July 14, 2008
Effective August 1, 2008
196
a
hTOWN OF WENDELL
CODE 4F ETHICS POLICY FOR ELECTED AND APPOINTED
Adopted July 14, 2008
Effective Aagust 1, 2008
Policy Purpose
The Wendell Board of Commissioners has adopted a Code of Ethics for mem
board of commissioners and the town's advisory boards / commissions
confidence in the integrity of local government and its effective and fair operati
POLICY STATEMENT
town's
public
Preamble:
The citizens and business of Wendell are entitled to have fair, ethical and counta e local
government which has earned the public's full confidence for integrity. In k eping iiiith the
Town of Wendell's commitment to excelience, the effective functioning of de ocratic
government therefore requires that:
• Public officials, both elected and appointed, comply with both the le er and pirit of
the laws and policies affecting the operations of government;
• Public officials be independent, impartial and fair in their judgment d actio ;
• Public office be used for the public good, not for pexsonal; and
• Public deliberations and processes be conducted openly, unless leg ly confl. ential,
in an atmosphere of respect and civility.
To this end, the Wendell Board of Commissioners has adopted a Code of Ethics for me bers of
the Board of Commissioners and of the town's advisory boards / commissions r assur public
confidence in the integrity of local government of respect and civility.
Act in the Public Interest - Recognizing that stewardship of the public interest
must be their primary concern, members will work for the co on goo of the
people of Wendell and not for any private or personal interest, and ey wil assure
fair and equal treatment of all persons, claims and transactions co ing be ore the
Town of Wendell Board of Commissioners, as well as various a visory oards /
commissions.
147
2. Comply with the Law - Members shall comply with the laws f the n tion, the
State of North Carolina and the Town of Wendell in the pe rmanc of their
public duties. These laws include, but aze not limited to: the nited S tes and
North Carolina constitutions; the Wendell town charter; Ia s pert ning to
conflicts of intecest, election campaigns, financial discl sures, mployer
responsibilities, and open processes of government; and to ord' ces and
policies.
3. Conduct of Members - The professiozaal and personal conduct f inem rs must
be above reproach and avoid even the appearance of impropriety Memb rs shall
refrain from abusive conduct, personal charges or verbal a acks on the
character or motives of other members of boards and commiss ons, th staff or
public.
4. Respect for Process - Members shall perform their duties in acc rdance ith the
processes and rules of order established by the Wendell Board of mmissi ers and
advisory boazds / commissions governing the deliberation o public policy
issues, meaningful involvement of the public, and impleme tion policy
decisions of the town board of commissioners by the town sta.ff.
5. Conduct of Public Meetings - Members shall prepare thems lves fo public
issues; listen courteously and attentively to a11 public discussions efore t e body;
and focus on the business at hand. They shall refrain from i terrupti g other
speakers; making personaI comments not germane to the busines of the ody; or
otherwise interfering with the orderly conduct of ineetings.
6. Decisions Based on Merit - Members shall base their decisions n the m rits and
substance of the matter at hand, rather than on unrelated consideratio .
7. Communicatioa - Members shall publicly share substantive i rmatio that is
relevant to a matter under consideration by the board or commis ion, w h they
may have received from sources outside of the public decision- ' g proce.
8. Contlict of Interest - In order to assure their independence an
impart '
ity on
behalf of the common good, members shall not use their offi
ial posi
ions to
influence government decisions in which they have a material
nancial
nterest
or where they have an organizational responsibiiity or personal rel
tionshi
which
may create a conflict of interest or which give the appearance of a co
ict of
terest.
As may be related to matters before them, members shall discl
se inve
ents,
interests in real property, sources of income, and gifts; and they s
1 abs
n from
participating in deliberations and decision-making where conflicts
y exist.
9. Gifts and Favors - Members shail not take any special advanta e of se ices or
opportunities for personal gain, by virtue of their public office tha is not a ailable
to the public in general. They shall refrain from accepting any gifts, f ors or
promises of future benefzts which might connpromise their i depend nce of
judgment or action or give the appearance of being compromised.
198
10. Confidential Information - Members shatl respect the co fidenti ity of
information concerning the property, personnel or affairs of the t wn. Th shal l
neither disclose confidential information without proper legal a thorizat n, nor
use such information to advance their personal, financial or other p vate int ests.
11. Use af Public Resources - Members shall not use public resoure s not a ilable
to the public in general, such as town staff time, equipment, supp ies or Tilities,
for private gain or personal purposes.
12. Representation of Private Interests - In keeping with their role stewar of the
public interest, members of any board or commission shall not pear o behalf
of the private interests of third parties before the any board, ommis ion or
proceeding of the town, nor shall members of any boards and co 'ssion appear
before their own bodies or before the board of commissioners on beh f of the
private interests of third parties on matters related to the areas of service f their
bodies.
13. Advocacy - Members shall represent the official policies or p sitions of the
appropriate board or commission to the best of their ability whe desig ted as
delegates for this puzpose. When presenting their individua opinioiis and
positions, members shall expiicitly state they do not represent th ir bod or the
Town of Wendell, nor wi 11 they allow the inference that they do.
14. Policy Role of Members - Members shall respect and adhere
o the c
uncil-
manager structure of Wendell town govemment as outlined by th
Wende
ll town
charter. In this structure, the Town Board of Commissioners
eterrn'
s the
policies of the town with the advice, information and analysis
ovided
by the
public, boards and commissians, and town staff. Except as provid
d by tffih
town
charter, members therefore shall not interfere with the administrat
ve func
ons of
the town or the professional duties of town staff; nor shall they imp
'r the at
iility of
staff to implement board of commissioners policy decisions.
15. Independence of Boards and Commissions - Because of t
independent advice of boazds and commissions to the public
process, members of the board of commissioners shall refrain
position to unduly influence the deliberations or outcomes of commission proceedings.
16. Posihve Work Place Environment - Members shall support the
positive and constructive work place environment for town en
citizens and businesses dealing with the town. Members shall
special role in dealings with town employees to in no way create
inappropriate direction to staff.
3
valuell of the
their
rd or
e of a
id for
their
'.on of
199
17. Implementation - As an expression of the standards of cond
expected by the town, the Wendell Cade of Ethics is inten
en£orcing. It therefore becomes most effective when members
familiar with it and ernbrace its provisions. For this reason, ethica
be included in the regular orientations for candidates for the board o
applicants to advisory board / commissions, and newiy eiected
officials. Members entering office shall sign a statement affirmi
understood the Town of Wendell Code of Ethics. In addition, the
shall be annually reviewed by the board of commissioners and a
commissions, and the board of commissioners shall consider
from the advisory boards / commissions and update it as necessary.
18. Compliance and Enforcement - The Town of Wendell
expresses standards of ethical conduct expected for members
Board of Commissioners and advisory boards / commiss.
themselves ha.ve the primary responsibility to assure that ethic
understood and met, and that the public can continue to have i
the integrity of government.
Any citizen of Wendell has the right and responsibility to intervene
members that appear to be in violation of the Code of Ethics are
attention. The boazd of commissioners may impose sanctions on n
board member when their conduct does not comply with the
standards. Sanctions may take the form of a reprimand, formal
seniority or committee assignment, budget restriction, or rem
advisory board. Except as provided by law, violation of this cod.e
not be considered a basis for challenging the validity ofa board of +
or advisory boand / commission decision.
Effective on the 1 s` day of Au ust 2008. Adopted, this the 14t' day of July, 2008,
w~~~'~i,
A
LCAw~~~~
Jo ie Driver, Clerk
Broadwell, II, Mayor
2 nrn
;t for embers
ed to e self-
are th oughly
standar shall
commi ioners,
and a ointed
g they ad and
Code o Ethics
visory oards /
;omme ations
ode of Ethics
f the endell
Zs. embers
I stan ds are
1 confince in
vhen ac ons of
rought their
embers f any
town's thical
ensure, oss of
►val fr m an
c)f ethic shall
~R,of wti T
~
~
'01
RESOLUTI4N # R-08-013
July 14, 2008
A RESOLUTION CREATING A
TOWN OF WENDELL
C4DE OF ETHICS POLICY
WHEREAS, the proper operation of democratic government
officials be independent, impartial and responsible to the people; and
WHEREAS, government decisions and policy must be made in
government structure; and
WHEREAS, public office must mot be used for personal gain; and
WHEREAS, the pubtic must have confidence in the integrity of its
NOW THEREFORE, BE IT RESOLVED by the Town of W
Commissioners that the following Town of Wendell Code of Ethics Pi
Attachment A) is hereby adopted.
Adopted this the 14t'' day of July, 2008.
FON~y1; OF M►~'Vp
r,--=--`~' ~
Jo ie Dnver, Town
Broadwell, II,
public
3 of the
of
as
c,
201
South Lake, TX.
2 0 in". I
CODE OF ETHICS AND CONDUCT*
State Law References: Conflicts of interest, V.T.C.A., Local Government Code ch. 171.
Sec. 2-261. Definitions.
For the purposes of this code of ethics and conduct the following words and phra:
meanings ascribed to them by this section:
Advisory board shall mean a board, commission or committee of the city that fun,
advisory or study capacity.
Business entiry shall mean a sole proprietorship, partnership, firm, corporation, as
company, joint stock company, receivership, trust, or any other entity recognized by law.
Employee shall mean any person employed by the city, including those individual
but such term shall not be extended to apply to any independent contractor.
Family member shall mean a person related to another person within the first degr
affinity, as described by Subchapter B, Chapter 573, Government Code.
Knowingly. A person acts knowingly, or with knowledge, with respect to the natu
or to circumstances surrounding his or her conduct when he is aware of the nature of his i
the circumstances exist. A person acts knowing, or with knowledge, with respect to a resi
conduct when he is aware that his or her conduct is reasonably certain to cause the result.
Officer shall mean any member of the city council, the planning and zoning comm
adjustment, the building board of appeals and any member of a board, commission or com
ordinance, charter or state law that has final approval authority over any application, perm
city approvals; provided, no member of an advisory board shall be deemed an officer of th
Substantial interest.
(1) A person has a substantial interest in a business entity if:
a. The interest is ownership of ten percent or more of the voting stock
business entity or ownership of either ten percent or more or $5,000
market value of the business entity (see section 171.002, Texas Loc
or
b. Funds received by the person from the business entity exceed ten
gross income for the previous year (see section 171.002, Texas L
or
shall ave the
~ns on in an
iatio holding
on a pa -time basis,
e by co sanguinity or
of his
r her conduct
her co
uct or that
; of his
r her
ssion, t
board of
nittee e
tablished by
t, licens
i- or other
; city.
hare of the
or of the fair
~ovire
ment Code);
person's
;nt Code);
20,3
The person holds a position of inember of the board of directors
of the business entity; or
(2)
(3)
d. The person serves as an elected officer of the business entity; or
e. The person is an employee of the business entity; or
f. The person is a creditor, debtor or guarantor of the business entity
$5,000.00 or more; or
g. Property of the person has been pledged to the business entity or is
favor of the business entity in the amount of $5,000.00 or more.
A person does not have a substantial interest in a business entity i£
a.
b.
c.
d.
the
board
of
ect to a lien in
The person holds a position as a member of the board of directors I
r other
board of a business entity; and The person has been designated by the city council to serve on
The person receives no remuneration, either directly or indirectly,
on such board; and
The primary nature of the business entity is either charitable,
A person has a substantial interest in real property if the interest is an
ownership interest with a fair market value of $2,500.00 or more (see
Local Government Code).
(4) A person has a substantial interest under this chapter if the person's family
substantial interest under this chapter (see section 171.002, Texas Local G
(Ord. No. 635, § 2, 3-21-95; Ord. No. 635-A, § 1, 6-6-06)
Cross References: Definitions generally, § 1-2.
State Law References: Degrees of relationship, V.T.C.A., Government Code ch. 573.
Sec. 2-262. Declaration of article policy.
It is hereby declared to be the policy of the city that the proper operation of democ
requires that public officials and employees be independent, impartial and responsible on:
city; that governmental decisions and policy should be made in the proper channels of the
structure; that no officer, employee or member of any board, commission or committee st
interest, financial or otherwise, direct or indirect, or engage in any business, transaction o
or incur any obligation of any nature which is in conflict with the proper discharge of his
interest; that public office and public employment are positions of public trust imposing tl
upon all employees and officeholders, who are not to use their public position for persona
public should have confidence in the integrity of its government. To implement such a po
deems it advisable to enact this code of ethics and conduct for all officers, employees and
board;
nd
r his o
her service
fit or g
vernmenta
ble or
gal
n 171.0
02, Texas
nembe
has a
vernm
t Code).
of the
~uia na
e any
profess
onal activity
uties in
he public
; duty ci
f a fiduciary
gain; a
d that the
cy, the
ity council
dviso
board
204
members, whether elected or appointed, paid or unpaid, to serve not only as a guide for
city's public servants, but also as a basis for discipline for those who refuse to abide by
ethics and conduct is cumulative of other ordinances, city Charter provisions and state
prohibiting conflict of interest.
(Ord. No. 635, § 1, 3-21-95)
Sec. 2-263. Penalties for violation of article; forfeited position; exemptions; inj
(a) Except where otherwise provided by state law, it is not the intent of this
this article be subject to criminal penalties.
(b) Whenever the city council has determined that any officer, employee or
has violated any provision of this article, such officer, employee or advisory board men
discipline, including forfeiture of his office or position. Nothing in this article shall be c
such officer, employee or advisory board member from being reelected, reappointed or
position forfeited under the provisions of this article.
6cia1 c
terms.
iuct of the
is code of
ina and
le thatl violations of
sory
ard member
shall
e subject to
:rued t
i) prohibit
rwise
ehired to any
(c) The city council may exempt from the provisions of this article any condu t found o constitute a
violation by an officer, employee or advisory board member if it finds that the enforceme t of thi article with
respect to such conduct is not in the public interest.
(d) Any contract or transaction which was the subject of an official act or acti n of th city in which
there is an interest prohibited by this article, or which involved the violation of a provisio of this rticle, shall
be voidable at the option of the city council.
(e) At the discretion of the city council, the city attorney shall have the power
the provisions of this article is threatened or has occurred, to bring a civil action or proceE
equity, for a judgment enjoining any violation of the provisions of this article or requirin~
any prohibited interest or the voiding of any such contract or transaction, taking into acco
city and any third persons who may be injured thereby. Where the city council determine:
interest may best be served by not voiding a contract or transaction entered into in violati,
contract or transaction may be enforced, and an action or proceeding may be brought aga
employee or advisory board rnember found in violation of provisions of this article for da
twice the damages suffered by the city or twice the profit or gain realized by the officer, e
board member, whichever is greater.
(Ord. No. 635, § 7, 3-21-95)
Sec. 2-264. Standards of conduct.
(a) No city officer, employee or advisory board member, or their spouses,
where violation of
3in2, at law or in
the reli
quishment of
int the i
terests of the
that th
public
n of thi
article, such
ist any
fficer,
ot to exceed
or advisory
(1) Accept or solicit any gift, favor, service or thing of value from any person, group c
entity, including a promise of future employment, that might reasonably te d to in
the discharge of his or her official duties or that the officer, employee or a visory 1
knows or should know is being offered with the intent to influence the offi er's or
official conduct. This prohibition shall not apply to:
business
zence him in
,ard member
9
O5
a. An occasional non-pecuniary gift, insignificant in value; or
b. An award publicly presented in recognition of public service; or
Any gift which would have been offered or given to the officer eml
board member or his or her spouse if he/she were not a city officer,
board member; or
d. Any travel and related expenses to attend ceremonial functions, pr
acceptance and attendance have been approved by the city council
of the ceremonial function.
(2) Grant in the discharge of his or her official duties any improper favor,
any person, group or business entity;
(3) Knowingly disclose any confidential information gained by reason of the I
employee or advisory board member concerning property, operations, poli
city, or use such confidential information to advance any personal interest,
otherwise, of such officer, employee or advisory board member, or others.
not preclude disclosure of such confidential information in connection witl
proceeding regarding whether there has been a violation of the standards o
this code.
(4) Use one's position or office of employment or city facilities, personnel, ec
secure special privileges or exemptions for himself or others or for the pri
officer, employee, advisory board member or his or her spouse.
(5) Engage in any exchange, purchase or sale of property, goods or services
a. Rendering services to the city as an officer, employee or advisory
b. Paying taxes, fines, utility service or filing fees;
c. Executing and performing any developer's agreement or plat in cor
regulations applicable to any person; provided, however, that if an;
or regulation allows any discretion by the appropriate officers or el
the interpretation or enforcement of such ordinance, rule or regulat
discretion shall be exercised in favor of the city in connection with
agreement or plat;
d. Advisory board members who are not otherwise officers or emplc
engage in any exchange, purchase or sale of property, goods or se
enter into a contract with the city, provided that the board on whi(
has no advisory function or cognizance, direct or indirect, present
respect to the transaction in which such advisory board member e
loyee o advisory
emplo e or advisory
vided t t such
)rior to e occurrence
i~e or
of value to
)sitior
ies or
inanc
'his si
any ii
the
'the officer,
airs of the
or
ection shall
stigation or
set forth in
supplies to
'the city
, except:
pliance
ith laws and
city or
nance, rule
ployee
of the city in
)n, any
uch
ny suc
developer's
i
;es of t
city, may
ices wit
the city, or
they ar
a member
• prospe
tive, with
aiaes or
ronoses to
20ig
engage.
(6) Hold himself/herself out as representing the city in any capacity other
appointed, elected or hired.
that
he was
(7) Engage in or accept private employment or render a service when such e loyme t or service is
incompatible with the proper discharge of his or her official duties or wou d tend t impair his or
her independent judgment in the performance of his or her official duties.
(8) Make or permit the unauthorized use of city owned vehicles, equipment, ~aterials Pr property.
(9) Grant any special consideration, treatment or advantage to any citizen bey nd that
available to every other citizen.
(10) After termination of service or employment with the city, appear before a y board
commission of the city in relation to any case, proceeding ar application i which :
personally participated or which was under his or her active consideration, during
his or her service or employment.
(11) Transact any business in his or her official capacity with the city with a
he/she has a substantial interest.
(12) Engage in any dishonest or criminal act or any other conduct prejudicial t~ the
city or that reflects discredit upon the government of the city.
(13) Knowingly perform or refuse to perform any act in order to deliberately
city ordinances, rules or regulations or the achievement of official city X
(b) No officer, advisory board member or city employee shall knowingly
indirectly, any person, group or business entity:
(1) Before the city council or any department, agency, board or commission
(2) In any action or proceeding against the interests of the city or in any li
or any department, agency, board or commission thereof is a party; or
(3) In any action or proceeding in the municipal courts of the city which was
officer or employee in the course of his or her official duties, ar a criminz
any city officer or employee is a material witness for the prosecution.
(c) The restrictions in this section do not prohibit the following:
(1) A city employee, officer or advisory board member (other than city col
spouse, appearing before the city council or a city department, agency,
represent himself or herself in a matter affecting his or her property; pr
such person, or his or her spouse, shall appear before the board or com
is
or she
; period of
in which
of the
vart the execution of
rams.
sent, di ectly or
the ci ;
on in ich the city
~stitute by a city
nrocee niz in which
1), or
rd or
of
or her
nmission to
-ver, that no
hich he or she
207
is a member; or
(2) A city employee or officer of an employee organization appearing before
city department, agency, board or commission to address employment mE
(d) The restrictions in this section do not apply to business associates of o
advisory board members, but only personally to the officers, employees and advisory
themselves.
(Ord. No. 635, § 3, 3-21-95; Ord. No. 635-A, § 2, 6-6-06)
Sec. 2-265. Disclosure of interest.
(a) If any city officer, employee or advisory board member has a substantial
entity or real property involved in any decision pending before such officer, employee, ,
member, or the body of which he or she is a member, such officer, employee, or advisoi
disclose such interest as provided in subsection (d) below and shall not, except as provi4
below, discuss the substance of the matter at any time with any other member of the bo,
member or any other body which will vote on or otherwise participate in the considerati
city uncil or a
's.
emp yees or
mem ers
a business
~ board
board nitember shall
d in sub ection (b)
l of whi h he is a
i of the atter.
(b) If any of the following interests or relationships are involved in any decisi
n pend'
g before any
city officer, employee, or advisory board member, or the body of which he is a member,
uch of
er, employee,
or advisory board member must disclose such interest or relationship as provided in subs
ction (
and, in the
case of an interest described in subsection (b)(6), as provided in subsection (e), subsectio
(f), or
ubsection (g)
below, but he shall be permitted to vote on and participate in the consideration of such m
tter:
(1) A decision concerning a bank or other financial institution from which the officer,
advisory board member has a home mortgage, automobile loan, or other i stallme
loan is not currently in default, was originally for a term of more than two ears ai
accelerated except for failure to make payments according to the terms th eof;
(2) A decision concerning a bank or other financial institution in which the
advisory board member holds a savings account, checking account or a
which is fully insured by the U.S. government or an agency thereof;
(3) A decision concerning a business entity with which the officer, employee,
member has a retail or credit card account;
(4) A decision concerning the approval of substitution of collateral by a city
nployee, or
loan, if the
cannotbe
ployee, or
deposit and
board
bank;
(5) A decision concerning real property in which the officer, employee or adv sory bo rd member
has a substantial interest if it is not reasonably foreseeable that such decisi n woul have a
special economic effect on the value of the property, distinguishable from he effe t on the public
(see § 171.004, Texas Local Government Code).
(6) A relationship between a city officer, advisory board member or employ
contracted with the city or is considering doing business with the city, if
and a
- city
i who has
, advisory
208
board member, employee, or family member of the city officer, advisory
employee has received one or mare gifts from a person who has contract
whom the city is considering entering into a contract and the gift(s) have
more than $250.00 in the 12-month period preceding the date the person
contract with the city or that the city is considering entering into a contra
shall not apply to gifts given as a political contribution as defined by the
given by a family member of the person accepting the gift, or gifts of foc
transportation or entertainment accepted as a guest.
(c) If the following relationship exists between any city officer, advisory boaj
or family member of a city officer, advisory board member or employee, such officer, ad
or employee must disclose such interest as provided in subsection (e), subsection (f), or s
and shall not, in accordance with subsection (a), discuss the substance of the matter at an
member of the board of which he or she is a member or any other body which will vote c
participate in the consideration of the matter. A relationship shall exist if the city officer,
member, employee, or family member of the city officer, advisory board member or emr
income, other than investment income, that exceeds $2,500.00 from a person who contra
whom the city is considering entering into a contract if such income was received during
preceding the date the city officer, advisory board member or employee becomes aware <
potential contract.
(d) A city officer, employee or advisory board member shall disclose the exisi
interest in a business entity or real property involved in any decision pending before such
advisory board member, or the body of which he is a member. To comply with this parag
advisory board member shall, prior to any discussion or determination of the matter, eithE
disclosure as required by § 171.004 of the Texas Local Government Code or, if not so rec
disclose in the official records of the body or of the city secretary the nature of the intere~
paragraph, a city employee shall notify his or her superior, and the director of human resc
nature of any substantial interest he may have in a business entity or real property which
an exercise of discretionary authority by the city employee. The employee's superior shal
another employee.
(e) A council member or the city manager shall disclose a relationship as de1
(b)(6) and (c) that exists between the council member, the city manager or family memt
member or city manager with a person who enters into a contract the city or with whom
entering into a contract by filing a conflicts disclosure statement with the city secretary ~
of the Texas Local Government Code. The disclosure statement form is available from t
visiting www.ethics.state.tx.us/whatsnew/conflict forms. This disclosure shall be filed n
on the seventh business day after the date on which the council member or the city m=
the existence of a relationship as defined in subsections (b)(6) and (c).
(f) An advisory board member shall disclose a relationship as defined in subs
that exists between the advisory board member, or family member of the advisory board
who enters into a contract with the city or with whom the city is considering entering int(
written statement with the city secretary on a form promulgated by the city secretary for
statement shall be filed not later than 5:00 p.m. on the seventh business day after the date
with
with
s with
1e 12-r
'the ex
;nce of
)fficer,
iph, a (
- file ar
zired, s
.Toco
xrces ir
tould b
assign
ed in si
of the
ecity i
require
city se
later tY
a
i on
iber or
city or with
te value of
,vare of a
person. This
de, gifts
, employee
rd member
(g) below
h any other
ives taxable
e city or with
nth period
iniz or
ny substantial
mployee or
ty officer or
iffidavit of
a11 publicly
iply with this
xriting of the
affected by
ie matter to
:)uncil
considering
by § 176.003
retary or by
n 5:00 p.m.
ies aware of
)(6) and (c)
vith a person
;t by filing a
se. This
~ the advisory
n rt
~
U