Minutes - Regular Meeting - 9/10/1990 1 1
Ethics Review Commission
September 10, 1990
The City of Round Rock Ethics Review Commission met on Monday,
September 10 , 1990 at 7 :00 p.m. in ' the City Council Chamber, 221
E. Main Street.
ROLL CALL: Those members present were Chairman Gene
Glaeser, Commissioners David Cooke, Harold Creed, Ray Gill , Jr. ,
Dr. J.R. Rogers, and Larry Terrell . Vice-Chairman Shawn Hood
arrived during item 4.a. Also present were Barney Knight,
Special Counsel for the Ethics Review Commission and Christine
Martinez , Assistant City Secretary.
APPROVAL OF MINUTES: August 13 , 1990
The Commission approved, as submitted, the minutes of August 13,
1990 meeting.
In response to a question raised at the previous meeting.
Mr. Knight clarified whether the Ethics Review Commission would
need to file a financial disclosure. Mr. Knight stated his
interpretation of the ordinance is that members of the Ethics
Review Commission and other Boards and Commissions of the City
are not covered by the requirements of the Financial Disclosure.
It applies to City Officials and candidates for the Council .
Consider general information review and discussion of the
terms and provisions of Ordinance No. 2469 Ethics Ordinance) ,
including, but not limited to,
i 4 (a) the duties , responsibilities and limitations of
individual members of the Commission and the Commission as a
body ,
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September 10, 1990
Chairman Glaeser referred to the comments , provided by' Mr.
Knight, regarding items on discussion.
In response to questions raised Mr. Knight offered the following
information. Any official is prohibited from appearing before
any board or commission of which he is a member.
The primary function of the board is to the board and
should not have a conflict/time with those duties .
If this commission considers a complaint against an
individual and one of the board members has had a course of
dealings with that individual over the past 12 months that has
reached a level of $2500 in total then that board member should
immediately declare that fact into the record and abstain from
participating on the specific complaint .
4 (b the complaint , investigative and hearing process , and
Mr. Knight asked the Commission to consider the possibility
of coming up with a complaint form to help structure the
complaint . This would help the complaint stay in compliance with
the ordinance and save the Commission and person filing the
complaint some time.
The Commission discussed how a complaint would be
investigated and if someone else would do the investigating then
report to the Commission. . Mr. Knight recommended that the
Commission needs to explore this . He added that the board
members individually have no authority to investigate a
complaint . The Commission is limited to investigation of
complaints from the posture of a meeting and with a formal agenda
and open meeting. The ordinance specifically points out that the
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September 10, 1990
preliminary hearing would determine if the Commission would need
to proceed are if there are grounds for the complaint.
Mr. Knight said a person should not feel 100% secure from
just filing any kind of complaint they want just to defame or
slander somebody then feel like they have the protection of the
ordinance.
4 (c) interpretation of the ordinance in general .
Mr. Knight offered an explaination of specific concerns and-
questions regarding the ordinance through out the meeting.
Discuss and consider establishment of appropriate format ,
guidelines and procedures , consistent with the ordinance and due
process , for:
5 (a) consideration and rendition or advisory opinions
Mr. Knight said the ordinance requires the Commission to
issue advisory opinions . If the Commission desires Mr. Knight
could bring back general rules/guidelines the Commission could
follow based on procedures to issues.
The process that would be followed to arrive for advisory
opinions is : When an advisory opinion is requested this is done
through the City Secretary who will then inform legal counsel ,
legal counsel will immediately notify each Commissioner of the
request for an advisory opinion. A monthly meeting would be set
if needed to offer the recommendation for the opinion.
5 b) complaints filed, other than by the Commission on its
own initiative
Mr. Knight recommended that the Commission either suggest
or require a format for complaints that are being filed for
consideration by the Commission.
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September 10, 1990
This will help facilitate the business of the Commission and
person making the complaint . The form should require facts
specific enough that alleges a real complaint rather that the
possibility of one. ,
Mr. Knight offered to draft a form for the Commission if
they so wished. Chairman Glaeser stated he wanted the form to
have a section for a summary of the complaint or alleged
violation.
c
5 _Ccj Commission consideration of possible violations on
the Commission's own initiative
5 (d) complaints filed by the Commission on its initiative
These two items were discussed together. Mr. Knight said item
pertains to an individual member of a board or commission
initiating a complaint . Anyone member of the Commission as a
citizen file a complaint . This should not be confused as action
by the commission and the Commission should recommend that the
commission member act alone.
Discussion evolved around who should or would put something
on the agenda. It was recommended that strong guidelines for
Commission members to initate a complaint should be established.
The concern brought up was it may be easy for persons to go to a
member so he ,. can put it on the agenda instead of the person
who has the complaint .
A motion was made and seconded that the procedure for the
initiation of commission members bringing up the consideration of
a possible violation and putting it on the agenda. The decision
would be made by two commission members of which one is the
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September 10, 1990
Chairman after they have then spoken with legal counsel . Also
commissioners that acting as a private citizen and filing a
complaint should not particiapate in future hearings on the
specific complaint as a Commissioner.
Unanimous approval was received on the motion by all - the
commission members present .
5 (e) requirements and guidelines for establishing agenda
items of Commission meetings
This would be for the general agenda itself other than
violations .
After a brief discussion a motion was made and seconded that
items for the agenda would need to be received by city staff no
later than noon on the Wednesday prior to the Monday meeting or
five days prior to the scheduled meeting. The agenda along with
attachments will be mailed to the Commissioners on Wednesday at
the close of the business day. Unanimous approval was received.
The Commission decided that under a normal setting meetings
will be scheduled on Mondays at 7 :00 p.m. in the Council Chamber.
The next meeting of the Ethics Review Commission was
scheduled for October 8 , 1990 at 7 :00 p.m. in the Council
Chamber.
Consider review and approval of the "City Official
Financial Disclosure Statement" , the "Newly Appointed or Employed
City Official Financial Disclosure Statement" , and the "City
Council Candidate Financial Disclosure Statement" .
Mr. Knight. briefly went over the forms . After discussion
and recommendation regarding the forms by Mr. Knight, a motion
was made and seconded that a modification of the forms be made as
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September 10, 1990
recommended by special counsel and approved by the City Council .
Unanimous approval was received.
Adiournment :
There being no further discussion or business the meeting
adjourned at 8 : 40 p.m.
Respectfully submitted,
Christine Martinez
Assistant City Secretary
6
ETHICS REVIEW COADESSION
CITY OF ROUND ROCK, TEXAS
WHEREAS the City Council of the City of Round Rock, Texas adopted Ordinance No.
2469 creating the Ethics Review 'Commission ("Commission") and providing duties 'and
responsibilities of the Commission as therein set forth, together with specified procedures and
time limitations; and
WHEREAS the Ethics Review Commission has implied authority to establish rules of
conduct and procedures for the conduct of its business in a manner not in conflict with the
provisions of said Ordinance; and „
WHEREAS Section F(7) provides that.the Commission may make recommendations to
the City Council for-amendments to the Ordinance.
NOW THEREFORE be it resolved by the Ethics Review Commission that:
SECTION 1:
(a) Request for Advisory Opinions pursuant to Section F(8) shall be filed-with the City
Secretary. In the event a member of the Ethics Review Commission is contacted by any
person requesting an Advisory Opinion, said person shall be immediately referred to the
City Secretary. Outside the confines of a Commission meeting and prior to issuance of
an Opinion by the Commission, a member of the Commission should avoid all discussion
and comment with regard to a potential or pending request for an Advisory.Opinion.
(b) Upon receipt of'a request for an Advisory Opinion, the City Secretary shall,
promptly forward a copy of said request`to the legal counsel of the Commission and'to
each member of the Commission. The Commission's legal counsel shall draft a proposed,
opinion for the Commission's consideration and cause a copy of the draft Opinion to be
distributed to members of the Commission with the agenda and information for the"
meeting at which the Opinion will be considered. The Chair shall call meetings as
necessary to effectuate the requirements of Section F(8).
SECTION 2:
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The regular meetings of the Commission shall be held on a Monday at 7:00 P.M.
Agenda items and supporting material for such. meetings must be delivered to the City
Secretary on or before 12:00 noon of the immediately preceding Wednesday.
SECTION 3: `
(a) A complaint filed pursuant to Section G(2) shall not be deemed to be a complaint
upon the initiative of the Commission except that the complaint shall be upon the
signature of two members of the Commission, one of which must be the Chair of the
Commission, and is filed.after consultation with the legal counsel of the Commission.
(b) Except as provided in 3(a) above, a complaint filed by any individual member of the
Commission shall be considered as a complaint by a private citizen. In such event, the
member of the Commission filing the complaint should not participate in any future
meeting of the Commission wherein such complaint is considered, except and provided
the Commissioner filing the complaint may participate. as a complainant only.
SECTION 4: -
The Commission shall adopt a recommended form for use in filing of sworn complaints
alleging a violation of Ordinance No. 2469. The purpose_of the complaint form will be
to assist the complainant to state a proper complaint and to assist the Commission in the
consideration thereof. The complaint form shall require identification of the specific
section or sections. of Ordinance No. 2469 alleged to have been violated.
BE IT FURTHER RESOLVED the Ethics Review Commission recommend to the City
Council that:
Section G(1) of Ordinance No. 2469 be amended to read as follows, to wit:
"A sworn complaint based -on personal knowledge alleging a
violation(s) of this Section shall specify the provision(s) of this
section alleged to. have been violated, and shall name the city
official, candidate, or employee being charged. The complaint
shall be made upon the form attached hereto as Exhibit A. and
incorporated herein for all purposes."'
Section G(2) of Ordinance No. 2469 be amended to read as follows, to wit:
ETHICS.BLK PAGE 2
" Upon the aforesaid sworn complaint of any person being filed
' with the City Secretary's office, or on its own initiative, the
Commission shall consider possible violations of this' section by
city officials, candidates and employees: A complaint shall not be
deemed to be,filed on the initiative of the Commission save and
except the complaint be,.signed and sworn to by two members of
the Commission, one of which is the Chairman- of the
Commission, after consultation with the legal counsel of the
Commission. . A complaint filed by an individual member of the
Commission shall be deemed to have been filed in the Commission .
member's capacity as a private citizen.and, in such event, the
member of the Commission filing the complaint shall not thereafter
participate in a Commission meeting'at ,which such complaint is
considered, save and except ,that the Commissioner filing the
complaint may participate as a complainant at such meeting."
ADOPTED on this the day:of October, 1990.
ETHICS REVIEW COMMISSION
Gene Glaeser, -Chairman.
ATTEST:
Assistant City Secretary
ETHICS.BIX PAGE 3
S '
CITY OF ROUND ROCK
ETHICS REVIEW Commission
September 10 , 1990
Review and discussion of Ordinance No . 2469 (Ethics
Ordinance) , related to Agenda Item No . 4 Ethics Review Commission
Meeting of Monday, September 10 , 1990 .
(a) ( i) Individual members of the Ethics Review Commission
have no authority, powers or standing, except
during .a properly noticed meeting and as part of
the Ethics Review Commission acting' as a body, or
in the event the Commission exercises its. limited
power of delegation by designating a member to
undertake action on behalf of the Commission. In
fact, a member of the Commission, when outside of a
properly posted meeting of the Commission or
appropriately delegated duties by the Commission
has more limitations and less authority than a
citizen at large, with respect to the Ethics Review
Commission and its duties . As a member of a quasi
judicial body the requirements of due process and
i fairness place many implied - limitations - upon
individual members of the Commission. Further, the
Ordinance places limitations upon members of the
Commission. For example, JIG. 6 . prohibits a member
of the Commission from communicating directly or
indirectly with any person, except at a meeting of
the Commission with respect to a complaint pending
before the Commission.
(a) ( ii) The Ethics Review Commission, as a body, has only
that authority granted by 11sF. & G. , pps . 8-13 of
the Ethics Ordinance. Further, it has the implied
powers necessary and reasonable to perform the
specifically granted legislative authority.
However, the implied powers are significantly and
effectively limited by several provisions of the
Ordinance, to wit: 1IG. ( 6 ) provides that during the
pendency of a complaint the members of the
Commission are prohibited from communicating with
any person or party about any issue of fact or law
regarding the complaint, except during a meeting of
the Commission. This prohibition applies to and
extends to communication with your legal counsel .
It is of great importance that the Commission
always act in a manner mindful of its duties as a
quasi judicial body. In this regard, the
Commission should make every -effort to regard due
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process and fairness which are further mandated by
the Ordinance requirement that it base its
decisions totally upon the record presented at a
Commission meeting.
(b) ( i) The process provided for complaints filed by a city
official, -city employees, or members of the public
at large, is fairly straight forward and set forth
in 1IG. of the Ordinance. Three notable provisions
are as follows :
( 1 ) _ At the conclusion of a preliminary hearing the
Commission shall decide to either schedule a
final hearing or determine there are no
reasonable grounds to believe a violation has
occurred and, in such event, automatically
dismiss the complaint;
( 2 ) The Commission may dismiss a complaint for ,
failing to state a violation provided the
complainant is given one opportunity to amend
the complaint within ten days of the
preliminary hearing; and
( 3 ) The Commission shall not entertain a complaint
r based upon facts and actions occurring more
than -two years prior to the date of the
complaint.
Complaints may be initiated by the Ethics Review
Commission. This is a reasonable and necessary
inclusion in the Ordinance but requires special
care and consideration to protect both the person
complained of and the integrity and reputation of
the Commission itself. Pursuant to 1IG. ( 2 ) . a
member of the Commission itself may file a sworn
complaint. The Commission may wish to consider a
recommendation that the Commissioner filing a sworn
complaint on his ' or her own initiative - not
participate in a subsequent hearing ,regarding such
complaint, except as a complainant. 1IG. (5 ) .
provides the Commission may on its own initiative
consider possible violations of the Ordinance.
This action may well become necessary, however, it
should not be undertaken lightly. Circumstances
may arise in which the Commission is compelled to
initiate this process . However, given the special
implications that will attach prior to all relevant
facts becoming known, and the fact that the
Commission will sit as the final determinative body
in a case, Commission initiation of complaints
�. should be undertaken with the greatest prudence.
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In such event, -the Commission should proceed by an
agenda item to consider a "possible violation" and,
if at that meeting the Commission should determine
reasonable grounds to exist, it should direct the
preparation of a complaint. Thereafter, the
Commission has seven (7 )' days upon which to prepare
a written complaint and hold a Commission meeting
at which the Commission votes upon the filing of
such complaint. If the complaint is filed, the
Commission must' provide fifteen ( 15 ) days notice
and proceed upon timetables and hearings as in
other complaints . Once that complaint is filed,
members of the Commission may not, communicate with
anyone regarding -such complaint outside of a
Commission meeting.
The investigative process of the Commission is
limited . In general it is contemplated that the
Commission shall conduct its investigative
processes during the conduct of Commission meetings
and with appropriate agenda items having been
posted . - The Commission may request materials and
information to be provided at a future meeting and,
impliedly, may request its special counsel to
conduct reasonable investigation. The requirements
of the Open Meetings Act together with the apparent
intent of the Ordinance, including Is G. (5 ) and
G. ( 6 ) , limit the investigative powers of the
Commission members to the conduct of Commission
meetings .
(iv) The hearing process' established by the Ordinance is
straightforward and well defined . Great care
should be taken to assure compliance with the time
deadlines specified in the Ordinance. Special note
should be made of the provision that deadlines
should not be extended except that the final
hearing may be postponed upon the request of the
official or the employee named in the complaint.
In such event, there shall not be more than two
postponements not to exceed fifteen ( 15 ) days each.
(c) The great bulk of the Ordinance applies to city
officials defined as the Mayor, members of the
Council, City Manager, City Attorney, City
Secretary, the Director of Planning and Community
Development, Director of Public Works , Director of
Finance, etc. It further applies to employees of
the City which specifically does not include
independent contractors . These definitions exclude
members of the various boards and commissions of
the City form the bulk of the Ordinance. The
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requirements for financial disclosure apply to city
officials and candidates for elected city office.
The annual financial _ disclosure requirements are
not applicable to employees 'at large or members of
city boards and commissions .
However, 11E. ( 6 ) applies to members of boards
and commissions having transactions totaling
$2,500 .00 within twelve (12) months with a person
appearing before the board or commission of which
such board' or commission member is an advisor or
member. In the event the city official, board or
commission member, or employee owns 25% or more
interest in a business entity appearing before the
City Council and requesting action, such person
shall immediately make disclosures as provided in
this paragraph.
Paragraph E. (7 ) requires newly appointed
members of the Planning and Zoning Commission, and
each member thereof on the anniversary date of
their appointment, to file with the City Secretary
a sworn statement identifying all real property
located within the City or its ETJ in which the
member has a substantial interest.
Paragraph E. ( 8 ) requires any person appearing
before the City Council or Commission of the City
to disclose certain business dealings-with entities
which a council member or commissioner may have a
substantial interest in as defined by the
Ordinance.
Discussion and consideration of appropriate formats,
guidelines and procedures ( related to September 10 , 1990 Agenda
Item' 5 )
(a) Paragraph , F. ( 8 ) requires the Commission to
render advisory opinions at the request of city
officials , members of city boards and commissions,
or employees . The opinions must be rendered within
thirty (,30 ) days after the request is received by
the Commission. The next paragraph, 1JE. ( 9 )
provides that it shall be a defense to an alleged
violation of this Ordinance that the person acted
consistently with an advisory opinion of the
Commission, unless material facts were omitted . It
should be noted that only the Commission may render
advisory opinions and, therefore, it is
inappropriate for any individual member of the
Commission or its legal advisor. to comment thereon
prior to the rendering of an opinion by the
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Commission. The Commission may wish to provide for
one of two alternative procedures in the event of a
request for an advisory opinion: ( 1 ) The
Commission' s consideration of such matter at a duly
noticed Commission meeting and rendering an opinion
crafted at that meeting, or ( 2 ) having its legal
counsel draft a proposed opinion for discussion,
modification, amendment, approval and issuance at a
subsequent meeting of the Commission held within
the 30-day time- limitations .
(b) I recommend establishment of a suggested
complaint form to be followed and employed by
complainants . A simple, straightforward format
will assist the complainant in presenting the
purported violation in a manner to assist the
Commission review of same. In addition, by
structuring the complaint form we can assist the
complainant in stating facts and jurisdiction in a
manner to relate to the Ordinance itself.
Obviously, the form would provide the complainant
with the freedom to attach. such supporting
information and exhibits as deemed appropriate in
the complainant ' s best judgment. It is my
experience a formal suggested form will avoid the-
loss - of time by both the Commission and the -
complainant and facilitate review of complaints
while limiting complaints which are not within the
purview of the Ordinance. Should the Commission
have an interest .in this approach, the Commission
may wish to have a member of the Commission propose
a form or I 'will, be happy to present same for the
Commission review at the next meeting.
(c) Although any member of the Commission' may
exercise his/her right to initiate a complaint as a
citizen, it is appropriate for the Commission to
consider establishing requirements for Commission
initiated complaints . For example, does the
Commission wish to allow any one member of the
Commission to place upon the agenda the possible
consideration of a violation of the ordinance
absent . a complaint filed by a citizen. Other
options the Commission may deem appropriate include
allowing the chair to place such an item on the
agenda, require such agenda items to be sponsored
by two members of the Commission, or recommend one
member of the 'Commission in consultation with the
legal counsel sponsor such item. Does the
Commission have any recommendations regarding
participation, by a member of the Commission in a
subsequent hearing process in those cases in which
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the individual member of the Commission may have
filed a complaint.
(d) The Commission should, specify procedures
discussed above regarding filing of complaints by
the Commission on its own initiative. My
recommendation to you is to consider the process
. whereby first an agenda item would be very
carefully worded for the Commission to consider a
possible violation. At that meeting, if the
Commission determines there is sufficient question
to warrant the filing of a complaint -in order to
more clearly ascertain all facts, it must file the
complaint within seven (7 ) days . I recommend for
your consideration the process whereby the legal
counsel for the Commission would prepare that
complaint to be considered at a subsequent
Commission meeting held within the seven ( 7 ) days .
(e) The Ordinance requires certain issues to be
forwarded to the Commission within given time
frames . These are non-discretionary. Because of
the sensitive nature of the Commission' s duties and
responsibilities , the Commission may now wish to
set forth certain requirements and guidelines for
establishing other agenda items for Commission
meetings . Requirements for establishing agenda
items vary widely by governmental entity. Some
governmental entities permit individual members of
boards and Commissions to obtain the posting of an
agenda item, others require -two members of the
board or Commission to sponsor an agenda item, many
allow the chair in his discretion to post an agenda
item without more. The Commission should at least
address these issues and, to the degree if any, it
wishes to provide the City Secretary and its legal
counsel with the authority to post discretionary
agenda items .
While the above-discussed issues may now appear to be minor,
involve primarily matters of form and procedure, it is likely they
will be important at some future time. To the extent the
Commission may establish forms, process and procedures at present,
it can amend those as it may find desirable in the future. There
are no requirements for the Commission to affirmatively undertake
any of these recommendations although same may assist the
Commission at a future time and allow it to avoid allegations of
adjusting its process and procedures because of the timing or
individual named in a future complaint.
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L 3,.
ORDINANCE NO. 6
9
AN ORDINANCE AMENDING CHAPTER 1, SECTION 9, CODE OF
ORDINANCES, CITY OF ROUND ROCK, TEXAS; PROVIDING A POLICY
STATEMENT; DEFINING CERTAIN TERMS; PROVIDING FOR STANDARDS OF
CONDUCT; PROVIDING FOR DISCLOSURE OF INTEREST; PROVIDING FOR
FINANCIAL DISCLOSURE; PROVIDING FOR AN ETHICS REVIEW
COMMISSION; PROVIDING FOR DISPOSITION OF ALLEGED VIOLATIONS;
PROVIDING FOR EFFECTIVE DATES; PROVIDING FOR A SAVINGS
CLAUSE; AND REPEALING CONFLICTING ORDINANCES.
BE IT ORDAINED BY THE CITY COUNCIL OF ROUND ROCK, TEXAS, THAT:
I.
Chapter 1, Section 9, Code of Ordinances, City of Round Rock, Texas
is hereby amended to read as follows:
Section 9: Standards of Conduct and Financial Disclosure For City
Officials
A. _ Policy
It is the policy of the Cit that the
_ Y proper operation of
democratic government requires that city officials and
employees be independent, impartial and responsible to- the
people; that governmental decisions and policy be made in
proper channels of the governmental structure; that public
office not be used for personal gain; and that the public have
confidence in the integrity of its government. In recognition
of these goals, a code of ethics for all city officials and
employees is adopted.
This code has four purposes: (1) to encourage high ethical
standards in official conduct by city officials and employees;
(2) to establish guidelines for ethical standards of conduct
for all such officials and employees by setting forth those
acts or actions that are incompatible with the best interests
of the City; (3) to require disclosure by such officials,
candidates, and employees of private * financial or other
interests in matters affecting the City; and (4) to serve as a
basis for disciplining those who fail to abide by its terms.
The provisions of this Section shall not apply to political
contributions, loans, expenditures, reports or regulation of
political campaigns, or the conduct of candidates in such
campaigns, except as expressly provided herein.
f
f
B. Definitions
1. Appears Before: A person appears before the City Council
or commission when such person publically states his name and
address, signs a sheet provided at the podium for that purpose,
and addresses the Council or commission.
2. Business Entity: Any corporation, partnership, sole
proprietorship., firm., enterprise, franchise, association,
organization, self-employed individual, holding company, joint
stock company, receivership, trust, or any legal entity
organized for profit.
3. Business Dealings: Any activity involving the exchange of
economic benefits.
4. Candidate: Every person who declares for or files for any
office of the City to be filled by election..
5. City Official: The mayor, every member of the City
Council, the city manager, the city attorney, the city
secretary, the director of planning and community development,
the director of public works, the director of finance, and
persons acting in the capacity of the aforementioned officers
or employees.
6. ; Compensation: Any economic benefit received in return for
labor, services, property, or investment.-
7. Economic Benefit: Any money, real or personal property,
purchase, sale, lease, contract, option, credit, loan,
discount, service, or other tangible or intangible thing of
value, whether similar or dissimilar to those enumerated.
8. Employee: Any person employed by the City whether under
civil service regulations or not, including those individuals
on a part-time basis, but such term shall not be extended to
apply to any independent contractor.
9. Family Member: The spouse and any dependent minor children
of a city official or candidate.
10. Gift: A favor, hospitality, or economic benefit other than
compensation but which does not include campaign contributions
reported as required by state law, gifts received from a
relative if given on account of kinship, or any value received
by will, intestate succession, or as a distribution from an
inter vivos or testamentary trust established by a spouse or
ancestor.
11. Identification: For a natural person, the person's name,
street address, city and state; for any entity other than a
2 .
natural person, the name, address, city and state of the
entity's principal location or place of business, the type or
nature of the entity, the date on which it came into existence,
the state of incorporation,. if any, the names of the partners
or trustees, if any.
12. Income: Economic benefit received.
13. Intentionally: A person acts intentionally, or with
intent, with respect to the nature of his conduct or to a
result of his conduct when it is his conscious objective or
desire to engage in the conduct or cause the result.
14. Knowingly: A person acts knowingly, or with knowledge,
with respect to the nature of his conduct or to circumstances
surrounding his conduct when he is aware of the nature of his
conduct or that the circumstances exist. A person acts
knowingly, or with knowledge, with respect to a result of his
conduct when he is aware that his conduct is reasonably certain
to cause the result.
15. , Source of Income: Any business entity, employment,
investment; or activity which earned or produced income,
including interest, dividends, royalties or rents, which has
been paid to or for the credit of a city official, candidate
or ,family member or which would be taxable to said city
official, candidate or family member under the United States
Internal Revenue Code, as amended, even though not actually
paid or credited.
16. Substantial Interest: A person has a substantial interest
in real property or a business entity if he and/or a family
member owns a ten percent (10%) or more interest in the
aggregate of said real property or business entity.
C. Standards of Conduct
1. Gifts
a. No city official or employee shall intentionally or
knowingly solicit or accept any contribution, gift, or
economic benefit with actual or constructive knowledge
that same is:
(i) offered or given with intent to influence the
judgment or discretion of such employee or official;
or
(ii) given in consideration of the favorable
exercise of such employee or official's judgment or
discretion in the past.
3 .
2 . General Provisions
a. No city official or employee shall intentionally or
knowingly disclose any confidential information gained by
reason of said official or employee's position concerning
the property, operations, policies or affairs of the City,
or use such confidential information for the pecuniary
gain of said official, employee, or others.
b. No city official or employee shall intentionally or
knowingly use one's official position or City owned
facilities, equipment, or supplies for the pecuniary gain
or advantage of said official, employee, or others, or use
City owned vehicles, printing facilities, postage
facilities or long distance telephone service for personal
reasons, for pecuniary gain or advantage, or in any
Political campaign.
c. No city official shall intentionally or knowingly
appear before the body of which the official is a member
while representing himself, or any other person, group,
association, interest, or business entity.
d. No city official or employee shall intentionally or
knowingly represent directly or indirectly any private
person, group, or interest other than himself or a family
member before any department, agency, commission or board
of the City for .pay or profit.
e. No city official or employee shall vote on or
participate in any decision making process if the official
or employee has a direct financial interest in the outcome
of the matter under consideration. No city official or
employee shall vote on or participate in any decision
making process on any matter concerning real property or
a business entity if the official or employee has a
substantial interest in the business entity or real
property.
f. No city official or employee shall intentionally or
knowingly accept other employment or engage in outside
activities incompatible with the full and proper discharge
of official duties and responsibilities, or which would
tend to impair independent judgment in the performance of
said official duties.
g. None of the foregoing shall be construed to prohibit
a city official or employee from representing his interest
in his owner-occupied homestead before the council, board,
commission or any department except for the body of which
the official is a member, or the department by which the
employee is employed.
4.
h. In any action or proceeding in the municipal court of
the City which was instituted by a city official or
employee in the course of official duties, no city
official shall knowingly represent anyone other than
himself or a family member. If a council member elects to
have a trial in municipal court, the City Council, without
the participation of the affected council member, shall
appoint a special judge to preside over the trial.
D. Disclosure of Interest
1. - If any city official has a substantial interest in any
real property or business entity involved in any decision
pending before the body of which the official is a member, the
official shall not vote or otherwise participate in the
consideration of the matter.
2. If any employee has a substantial interest in any real
property or business entity involved in any decision pending
before the department by which the employee is employed, the
employee shall not participate in the consideration of the
matter.
3. In the case of a city official, the official shall
publicly disclose, verbally or in writing, the nature and
extent of such interest to the body on which the official
serves prior to any discussion or determination of the matter
to be considered or immediately upon discovery of the conflict
of interest. The statement of disclosure shall be included in
the official minutes of the body.
4. In the case of an employee, the employee shall disclose
such information in writing to the employee's supervisor and to
the city secretary prior to any consideration of the matter.
The city secretary shall keep a file of employee statements of
disclosure and said file shall be a public record of the City.
E. Financial Disclosure
1. No later than April 30 of each year, each city official
shall file a sworn financial disclosure statement with the city
secretary reflecting the financial situation of the city
official as of December 31 of the previous year.
2 . A newly employed or appointed city official shall file a
sworn financial disclosure statement with the city secretary
within thirty (30) days from the date the position with the
city is assumed. Said statement shall reflect the financial
situation as of date of employment or appointment and for the
previous twelve (12) months, provided, however, such city
official shall not be required to include in such statement the
5.
requirements of paragraphs 4. f. , g. , and h. of this Subsection
E.
3. Each candidate shall file a sworn financial disclosure
statement with the city secretary within fifteen (15) days of
filing for office, reflecting the financial situation of the
candidate as of December 31 of the year previous to the
election date.
4. Each person required to file a financial disclosure
statement shall do so on a form supplied by the City which
shall include the following information:
a. The person's name, residence address, business
address, telephone number, name of all family members and
all names under which the person or family member does
business.
b. Identification by street address, and legal
description of all real property located within the city
or its extraterritorial jurisdiction in which the person
has a substantial interest.
C. Identification of each business entity owning
property or doing business within the City or its
extraterritorial jurisdiction in which the person has a
substantial interest.
d. Identification of each person or business entity to
whom the person or family member owed a debt of Ten
Thousand Dollars ($10,000) or more during the reporting
period, but not including debts owed to persons related
within the second degree of consanguinity or affinity and
excluding loans to a political campaign which were
reported as required by law; if repaid during the
reporting period the date of repayment shall be stated.
e. Identification of each source of income amounting to
ten percent (10%) or more of the person's or family
member's gross annual income as defined by the United
States Internal Revenue Code.
f. Identification of the donor of each gift of more
than one hundred fifty dollars ($150. 00) in value received
by the person or family member, including the value of the
gift, where such donor has appeared before and requested
action of the City Council during the reporting period.
g. Identification of the donor of two or more gifts of
an accumulated value of six hundred dollars ($600. 00) or
more received by the person or family member, where such
6.
donor has appeared before and requested action of the City
Council during the reporting period.
h. Identification of all individuals or business
entities that:
( i) he or a business entity in which he has a
substantial interest has had business dealings
involving one or more transactions of five hundred
dollars ($500.00) or more each, for a total of
twenty-five hundred dollars ($2,500) or more, and
(ii) have appeared before and requested action of
the City Council during the reporting period.
Identification shall also be required of all individuals
who have an ownership interest of twenty-five percent
(25%) or more in a business entity as described in (i)
above and who appears before and requests some action on
the part of the City Council, even though the action does
not concern such business entity.
5. The city secretary shall maintain all financial disclosure
statements required to be filed -herein as public records and
shall retain them for a period of three (3) years after which
the statements shall be returned to the person filing them or
shall be destroyed.
6. A city official, member of a city board or commission, or
employee shall immediately publicly identify, either verbally
or in writing, all individuals or business entities that:
a. he or a business entity in which he has a substantial
interest has had business dealings involving one or more
transactions of five hundred dollars ($500.00) or more
each, for a total of twenty-five hundred dollars ($2,500)
or more within the immediately preceding twelve (12) month
period, and
b. appear before and request some action of the City
Council, board or, commission of which such reporting
person is an advisor or member.
Such immediate identification shall also be required of all
individuals who have an ownership interest of twenty-five
percent (25%) or more in a business entity as described in a.
above and who appear and requests some action- on the part of
the City Council, even though the action does not concern such
business entity. Such identification shall be made prior to
any decision or determination of the matter or immediately upon
discovery of such business dealings.
7.
7. Within thirty (30) days of being appointed to the Planning
and Zoning Commission and on each anniversary of that date,
each member of such commission shall file with the city
secretary a sworn statement identifying by street address and
legal description all real property located within the City or
its, extraterritorial jurisdiction in which the member has a
substantial interest.
8. Any person who appears before the City Council or
commission who has had business dealings in the immediately
preceeding twelve (12) month period involving one or more
transactions of five hundred dollars ($500.o0) or more each,
for a total of twenty-five hundred dollars ($2,500.00) or more,
with a councilmember, commissioner, or business entity in which
a councilmember or commissioner has a substantial interest,
shall disclose such business dealings at the time of the
appearance. Any person who shall intentionally or knowingly
fail to make the aforesaid disclosure shall be guilty of a
misdemeanor and shall be fined in accordance with Chapter 1,
Section 5.B of the City Code.
F. Ethics Review Commission
1. An Ethics Review Commission ("Commission") is hereby
established to be composed of seven (7) members, all of whom
shall reside in the City.
f .
2. Each Commission member shall ' be appointed by the City
Council and shall occupy a position on the Commission, such
positions being numbered 1 through 7.
3 . The Commission members shall be appointed to two (2) year
staggered terms. Positions 1, 3, 5, and 7 shall expire on May
1, 1991, with successive two (2) year terms and positions 2, 4,
and 6 shall expire on May 1, 1992, with successive two (2) year
terms.
4. All vacancies shall be filled for the unexpired term. A
member shall hold office until his successor has been appointed
by the City Council.
5. , The Commission shall elect a Chairman and a Vice-Chairman
to one (1) year terms. The Vice-Chairman shall act as chairman
in the absence of the Chairman.
6. Four (4) or more members of the Commission shall
constitute a quorum, but no action of the Commission shall be
8 .
(' of any force or effect unless it is adopted by the favorable
vote of four (4) or more members.
7. The Commission shall meet at least once a year to review
this Section and may make recommendations to the City Council
for amendments hereto.
8. The Commission shall render advisory opinions on potential
conflicts of interest or violation of this Section at the
request of a city official, member of a City board or
commission, or employee subject to the terms of this Section.
Such advisory opinion shall be rendered within a reasonable
time, but in no event later than thirty (30) days after a
request therefore is received by the Commission.
9. It shall be a defense to an alleged violation of this
Section that the person accused previously requested an
advisory opinion of the Commission and acted on such opinion in
good faith, unless material facts were omitted or misstated by
the person requesting the opinion. Such advisory opinion shall
also be binding on the Commission in any subsequent charges
concerning the person requesting the opinion. .
10. Independent legal counsel shall be utilized to advise the
Commission and participate in hearings. The City Council shall
annually designate and retain independent counsel who shall be
a duly licensed attorney in the State of Texas.
G. Disposition of Alleged Violations
1. A sworn complaint based on personal knowledge alleging
a violation(s) of this Section shall specify the provision(s)
of this Section alleged to have been violated, and shall name
the city official, candidate, or employee being charged.
2. Upon the aforesaid sworn complaint of any person being
filed with the city secretary's office or on its own
- -initiative, the Commission shall consider possible violations
of this Section by city officials, candidates, and employees.
3. A complaint alleging a violation of this Section must be
filed with the city secretary within two (2) years from the
commission of the action alleged as a violation, and not
afterward.
4. . Not later than three (3) working days after the city
secretary receives a sworn complaint, the city secretary shall
acknowledge the receipt of the complaint to the complainant,
and provide a copy of the complaint to the city attorney, the
independent counsel, the Commission and the person complained
against. Not later than ten (10) working days after receipt of
a complaint, the Commission shall notify in writing the person
9.
who, made the complaint and the person complained against of a
date for a preliminary hearing. If the Commission does not
hold a preliminary hearing within twenty (20) working days of
receipt of the complaint, it shall notify the person who made
the complaint of the reasons for the delay and shall
subsequently give him the appropriate notification.
5. The Commission may consider possible violations of this
Section on its own initiative. Within seven (7) days of the
Commission's decision to consider a possible violation of this
Section, the Commission shall draft a written complaint
specifying the provision(s) of this Section alleged to have
been violated and shall file a copy with the city secretary,
and provide a copy to the city attorney, the independent
counsel, and the person complained against. Not later than
fifteen (15) days after the drafting of the complaint, the
Commission shall notify in writing the person complained
against of the date for the preliminary hearing.
a complaint has been filed and duringthe
pendency
ecvo-
After
of a complaint before the Commission, a member of the
Commission may not communicate directly or indirectly with any
party or person about any issue of fact or law regarding the
complaint, except at a meeting of the Commission.
g�.
7. As soon as reasonably possible, but in no event more than
sixty (60) days after receiving a complaint, the Commission
shall conduct a preliminary .hearing.
a. The issue at a preliminary hearing shall be the
existence of reasonable grounds to believe that a
violation of this Section has occurred. The person filing
a complaint, or the independent counsel in cases
considered upon the Commission's own initiative, shall
state the alleged violation and shall describe in
narrative form the testimony and other evidence which
would be presented to prove the alleged violation as
stated in the written complaint. Statements at a
preliminary hearing shall be under oath, but there shall
be no cross-examination or requests for persons or
evidence issued for the hearing. Members of the
Commission may question the complainant, the independent
counsel for the Commission, or the city official or
employee named in the complaint.
b. The city official or employee named in the complaint
shall have the opportunity to respond, but is not required
to attend or make any statement. The official or employee
may describe in narrative form the testimony and other
evidence which would be presented to disprove the alleged
violation. If the official or employee agrees that a
10.
violation has occurred, he may so state and the Commission
may consider the appropriate sanction .
C. The complainant and the city - official or employee
named in the complaint shall have the right of
representation by counsel.
d. At the conclusion of the preliminary hearing, the
Commission shall decide whether a final hearing should be
held. If the Commission determines that there are
reasonable grounds to believe that a violation of this
Section has occurred, it shall schedule a final hearing.
If the Commission does not . determine that there are
reasonable grounds to believe that a violation of this
Section has occurred, the complaint shall be automatically
dismissed. A decision to conduct a final hearing is not
a finding that a violation has occurred. '
e. The Commission, at any time during the preliminary
hearing, may also dismiss a complaint if the complaint
does not allege conduct which would be a violation of this
Section. Before a complaint is dismissed for failure to
allege a violation, the complainant shall be permitted one
opportunity, within ten (10) days of such preliminary
hearing, to revise and resubmit the complaint.
f. The complainant, the independent counsel, and the
city official or employee named in the complaint may ask
the Commission at a preliminary hearing to request certain
persons and evidence for a final hearing, if one is
scheduled.
8. Final Hearing.
a. The final hearing shall be held as expeditiously as
Possible following the determination by the Commission
that there are reasonable grounds to believe that a
violation of this Section has occurred, but in no event
shall it be held more than thirty (30) days after said
determination. The Commission may grant two (2)
Postponements, not to exceed fifteen (15) days each, upon
the request of the city official or employee named in the
complaint.
b. The issue at a final hearing shall be whether a
violation of this Section has occurred. The Commission
shall make its determination based on clear and convincing
evidence in the record. All witnesses shall make their
statements under oath. If the Commission determines that
a violation has occurred, it shall state its findings in
writing, shall identify the particular provision(s) of
this Section which have been violated, and within five (5)
i
11.
working days shall deliver a copy of the findings to the
complainant, if any, the person named in the complaint and
the city secretary.
C. If a complaint proceeds to a final hearing, the
Commission may request witnesses to attend and testify,
administer oaths and affirmations, take evidence and
request the production of books, papers, records, or other
evidence needed for the performance of the Commission's
duties or exercise of its powers, including its duties and
powers of investigation.
9. Sanctions.
a. If the Commission determines that a violation of this
Section has occurred, it shall proceed directly to
determination of the appropriate sanction(s) . A violation
of this Section shall not be subject to criminal penalties
under the City Code. The Commission may receive
additional testimony or statements before considering
sanctions, but is not required to do so. If the city
official or city employee named in the complaint acted in
reliance upon a written opinion of the city attorney, the
Commission shall consider that fact.
b. If the Commission determines that a violation has
occurred, it may impose or recommend the following
sanctions:
(i) A letter of notification shall be the
appropriate sanction when the violation is clearly
unintentional, or when the official or employee's
conduct complained of was made in reliance on a
written opinion of the city attorney. A letter of
notification shall advise the official or employee
to whom it is directed of any steps to be taken to
avoid future violations. The Commission may direct
a letter of notification to any official or employee
covered by this Section.
(ii) A letter of admonition shall be the
appropriate sanction in those cases in which the
Commission finds that the violation is minor and/or
may have been unintentional, but calls for a more
substantial response than a letter of notification.
The Commission may admonish any official or employee
covered by this Section.
(iii) A reprimand shall be the appropriate sanction
when the Commission finds that a violation has been
committed intentionally or through disregard of this
Section. The Commission may reprimand any official
12 .
or employee covered by this Section. A reprimand
directed to a city official or board or commission
member shall also be sent to the City Council. A
reprimand directed to an employee shall be sent to
the city manager and included in said .employee's
personnel file. A letter of reprimand directed to an
elected city official shall be transmitted to the
city secretary and published in the official
newspaper of the City, and shall be sent to the City
Council.
(iv) A recommendation of removal from employment or
a recommendation of suspension from employment, as
well as a recommendation for length of suspension,
shall be the appropriate sanction . when the
Commission finds that a serious or repeated
violation(s) of this Section has been committed
intentionally or through culpable disregard of this
Section by city employees. A recommendation of
suspension of city employees shall be directed from
the Commission to the city manager. In such cases
the final authority to carry out such
recommendations to suspend from employment . and the
length of suspension shall be with the city manager.
(v) A letter of censure shall be the appropriate
sanction when the Commission finds that a serious or
repeated violation(s) of this Section has been
committed intentionally or through culpable
disregard of this Section by an elected city
official. A letter of censure directed to an
elected city official shall be transmitted to the
city secretary, published in the official newspaper
of the City and shall be sent to the city council.
II.
A. The invalidity of any Section or provision of this ordinance
shall not invalidate other Sections or provisions thereof.
B. All ordinances, parts of ordinances, or resolutions in conflict
herewith are expressly repealed.
READ and APPROVED on first reading this day of ,
1990.
13 .
IN t/
READ and APPROVED and ADOPTED on second reading this day of
1990. '
Awe
MIKE ROBINSON, MAYOR
City of Round Rock, Texas
ATTEST:
t ,
JO E LAND, City Secretary
14.
CITY OF ROUND ROCK
CITY OFFICIAL
FINANCIAL DISCLOSURE STATEMENT
FOR THE REPORTING PERIOD
(Year)
This form is required to be completed by the following City
Officials:
1. Mayor
2. City Council Members
3. City Manager
4. City Attorney
5. City Secretary
6. Director of Planning and Community Development
1. Director of Public Works
8. Director of Finance
This statement is due no later than April 30 of each year.
This statement is required by Chapter 1, Section 9 of the Round '
Rock City Code. Please refer to - subsection E for specific
requirements and to subsection B for definition of terms.
Where additional space is required, please attach separate pages.
Please fill in all blanks. If a requested item does not apply,
write "N/A".
FINANCIAL DISCLOSURE FOR: 199
A. Name of Candidate:
Office. Sought:
Residence Address:
Business Address:
Telephone Number: (home) (work)
Name of Spouse:
Name(s) of all dependent minor children:
Name(s) under which you, your spouse, and/or your dependent minor
children do business:
B. Identify by street address, and legal description, - all real
he
property located within tCity of Round Rock or its
extraterritorial jurisdiction in which you have a substantial
interest.
1. Identification of property:
2. Identification of property:
3 . Identification of property:
4. (attach separate page if necessary)
l -
C. Identify each business entity owning property or doing business
within the City of Round Rock or its extraterritorial
jurisdiction in which you have a substantial interest:
1. Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
2 . Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) : -
3 . Name of entity: -
Address of entity's principal place 'of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
2
4. (attach separate page if necessary)
D. Identify each person or business entity to whom you, your spouse,
or your dependent minor children owe a debt of $10,000. 00 or
more, but not including debts owed to persons related within the
second:degree of consanguinity or affinity and excluding loans to
a political campaign which were reported or required by law:
1. Name of person or business entity:
Address:
If-:.repaid during reporting period, date of repayment:
2. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
3 . Name of person or business entity:
Address:
( If repaid during reporting period, date of repayment:
4. (attach separate page if necessary)
E. Identify each source of income amounting to ten percent (10%) or
more of your or your spouse's or your dependent minor children's
gross annual income.
1. Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2 . Name of source:
3
Source's address:
Type of entity (if applicable) :
Date entity. came into existence -(if applicable) :
State of incorporation (if applicable) :
.Names of partners or trustees (if applicable) :
3 . Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
F. Identify the source of each gift of more than one hundred fifty
dollars ($150.00) in value received by you or your spouse or your
dependent minor children.
1. Recipient of gift:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2 . Recipient of gift:
4
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3 . Recipient of gift:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
G. Identify the source of two or more gifts of an accumulated value
of six hundred dollars ($600.00) or more received by you, your
spouse, or your dependent minor children.
1. Recipient of gifts:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
5
Names of partners or trustees (if applicable) :
2 . Recipient of gifts:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3. Recipient of gifts:
Name of source:
Address of source:
i
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
H. Identify all individuals or business entities that (1) you or a
business entity in which you have a substantial interest have had
business dealings involving one or more transactions of $500.00
or more each, for a total of $2,500.00 or more and (2) have
appeared before and requested action of the City Council during
the reporting period. (Identification shall include individuals
who have an ownership interest of twenty-five percent (25%) or
more in a business entity which you have had business dealings
involving $2,500.00 or more and who appeared before and requested
some action on the part of the' City Council, even though the
action does not concern such ,business entity. )
l- � 6
1. Name of individual or business entity:
Address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2 . Name of individual or business entity:
Address:
Type of entity (if applicable) :
. Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3 . Name of individual or business entity:
Address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
f
7
VERIFICATION
STATE OF TEXAS .
COUNTY OF WILLIAMSON
BEFORE ME, the undersigned Notary Public, on this day personally
appeared , known to me, and after being duly
sworn, stated on oath that the foregoing and annexed Financial
Disclosure for 199 is within the knowledge of affiant and is true
and correct.
(signature)
(print or type name)
SWORN TO AND SUBSCRIBED TO BEFORE ME on this day of
199
Notary Public, State of Texas
Printed Name:
My Commission Expires:
8
CITY OF ROUND ROCK
NEWLY APPOINTED OR EMPLOYED CITY OFFICIAL
FINANCIAL DISCLOSURE STATEMENT
FOR THE TWELVE MONTH PERIOD
FROM TO
(Year)
This form is required to be completed by the following newly
employed or appointed City Officials:
1. Mayor
2. City Council Members
3 . City Manager
4, City Attorney
5. City Secretary
6. Director of Planning and Community Development
7. Director of Public Works
8. Director of Finance
This statement is due no later than thirty (30) days from the
date the position with the City is assumed.
This statement is required by Chapter 1, Section 9 of the Round
Rock City Code. Please refer to subsection E for specific
requirements and to subsection B for definition of terms.
Where additional space is required, please attach separate pages.
Please fill in all blanks. If a requested item does not apply,
write "N/A".
FINANCIAL DISCLOSURE FOR: 199
A. Name of City Official:
Residence Address:
Business Address:
Telephone Number: (home) (work)
Name of Spouse:
Name(s) of all dependent minor children:
Name(s) under which you, your spouse, and/or your dependent minor
children do business:
B. Identify by street address, and legal description, all real
property located within the City of Round Rock or its
extraterritorial jurisdiction in which you have a substantial
interest.
1. Identification of property:
2. Identification of property:
3 . Identification of property:
4. (attach separate page if necessary)
C. , Identify each business entity owning property or doing business
within the City of Round Rock or its extraterritorial
jurisdiction in which you have a substantial interest:
1. Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :,
Names of partners or trustees (if any) :
2. Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
3 . Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
2
Names of partners or trustees (if any) :
i
4. (attach separate page if necessary)
D. Identify each person or business entity to whom you, your spouse,
or your dependent minor children owe a debt of $10, 000.00 or
more, but not including debts owed to persons related within the
second degree of consanguinity or affinity and excluding loans to
a political campaign which were reported or required by law:
1. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
2 . Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
3. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
4. (attach separate page if necessary)
E. Identify each source of income amounting to ten percent (10%) or
more of your or your spouse's or your dependent minor children's
gross annual income.
1. Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
3
Names of partners or trustees (if applicable) :
2. Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3 . Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
r
4
VERIFICATION
STATE OF TEXAS .
COUNTY OF WILLIAMSON .
BEFORE ME, the undersigned Notary Public, on this day personally
appeared , known to me, and after being duly
sworn, stated on oath that the foregoing and annexed Financial
Disclosure for 199 is within the knowledge of affiant and is true
and correct.
(signature)
(print or type name)
SWORN TO AND SUBSCRIBED TO BEFORE ME on this day of
199
Notary Public, State of Texas
Printed Name:
My Commission Expires:
5
CITY OF ROUND ROCK
CITY COUNCIL CANDIDATE
FINANCIAL DISCLOSURE STATEMENT
FOR THE REPORTING PERIOD
(Year)
This form is required to be completed by every candidate who
declares for or files for any office of the City to be
filled by election:
This statement is due within fifteen (15) days of the date the
candidate declares his candidacy.
This statement is required by Chapter 1, Section 9 of the Round
Rock City Code. Please refer to subsection E for specific
requirements and to subsection B for definition of terms.
Where additional space is required, please attach separate pages.
Please fill in all blanks. If a requested item does not apply,
write "N/A".
FINANCIAL DISCLOSURE FOR 199
A. Name of Candidate:
Office Sought:
Residence Address:
Business Address:
Telephone Number: (home) (work)
Name of Spouse:
Name(s) of all dependent minor children:
Names) under which you, -your spouse, and/or your dependent minor
children do business:
B. Identify by street address, and legal description, all real
property located within the City of Round Rock or its
extraterritorial jurisdiction in which you have a substantial
interest.
1. Identification of property:
2. Identification of property:
3 . Identification of property:
4. (attach separate page if necessary)
�`. C. Identify each business entity owning property or doing business
within the City of Round Rock or its extraterritorial
jurisdiction in which you have a substantial interest:
1. Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
2. Name of entity: .
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
3. Name of entity:
Address of entity's principal place of business:
Type of entity (corporation, partnership, etc. ) :
Date of existence:
State of incorporation (if applicable) :
Names of partners or trustees (if any) :
4. (attach separate page if necessary)
2
r D. Identify each person or business entity to whom you, your spouse,
or your dependent minor children owe a debt of $10,000.00 or
more, but not including debts owed to persons related within the
second degree of consanguinity or affinity and excluding loans to
a political campaign which were reported or required by law:
1. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
2. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
3. Name of person or business entity:
Address:
If repaid during reporting period, date of repayment:
4. (attach separate page if necessary)
E. Identify each source of income amounting to ten percent (10%) or
more of your or your spouse's or your dependent minor children's
gross annual income.
1. Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2. Name of source:
Source's address:
Type of entity (if applicable) :
3
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3. Name of source:
Source's address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
F. Identify the source of each gift of more than one hundred fifty
dollars ($150. 00) in value received by you or your spouse or your
dependent minor children.
1. Recipient of gift:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2. Recipient of gift:
Name of source:
Address of source:
Type of entity (if applicable) :
4
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3 . Recipient of gift:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
G. Identify the -source of two or more gifts of an accumulated value
of six hundred dollars ($600.00) or more received by you, your
spouse, or your dependent minor children.
1. Recipient of gifts:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable).:, .
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
2 . Recipient of gifts:
Name of source:
Address of source:
5
v
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
3 . Recipient of gifts:
Name of source:
Address of source:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
H. Identify all individuals or business entities that (1) you or a
business entity in which you have a substantial interest have had
business dealings involving one or more transactions of $500. 00
or more each, for a total of $2,500.00 or more and (2) have
appeared before and requested action of the City Council during
the reporting period. (Identification shall include individuals
who have an ownership interest of twenty-five percent (25%) or
more in a business entity which you have had business dealings
involving $2,500.00 or more and who appeared before and requested
some action on the part of the City Council, even though the
action does not concern such business entity. )
1. Name of individual or business entity:
Address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
6
a
j 2 . Name of individual or business entity:
Address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable):
3 . Name of individual or business entity:
Address:
Type of entity (if applicable) :
Date entity came into existence (if applicable) :
State of incorporation (if applicable) :
Names of partners or trustees (if applicable) :
4. (attach separate page if necessary)
VERIFICATION
STATE OF TEXAS
COUNTY OF WILLIAMSON .
BEFORE ME, the undersigned Notary Public, on this day personally
appeared , known to me, and after being duly
sworn, stated on oath that the foregoing and annexed Financial
Disclosure for 199 is within the knowledge of affiant and is true
and correct.
(signature)
(print or type name)
7
SWORN , TO AND SUBSCRIBED TO BEFORE ME on this day of
{ , 199
Notary Public, State of Texas
Printed Name:
My Commission Expires:
i
8
ITEM
THE STATE OF TEXAS §
COUNTY OF WILLIAMSON §
TO: THE ETHICS REVIEW COMMISSION
OF THE CITY OF ROUND ROCK, TEXAS:
COMES NOW , and makes this complaint,
Complainant
UPON HIS/HER PERSONAL KNOWLEDGE AND UNDER OATH against
and would show the
(Name of Person complained against)
Commission that:
On or about the day of , 199 ,
name of person complained against) (insert ot the action,or omission,comp o
a/an
(insert appropriate designation;city ollicial,candidate,employee,Board or Commission member)
of the City of Round Rock, Texas, violated the following
provision(s) of Chapter 1, §9, Code of Ordinances, City of Round
Rock, Texas, to wit:
(Specify by Section,Subsection and Paragraph number the provision(s)alleged violated.)
by committing the following act, or .omission, to-wit:
(Describe above,the action,or omission,alleged to violate each Code provision cited. You may attach additional pages if more space is required.)
SIGNED this the day of , 199
(Signature of Complainant)
SWORN TO AND SUBSCRIBED BEFORE ME, by
on this the day of , 199
My Commission Expires:
Notary Public
In and For The State of Texas
COMPFORM.BLK
Bickerstaff, Heath& Smiley RECEIVE® OCT I���S C.ROBERT HEATH' MANUEL 0.MENDEZ•
RECEIVED MARTHA E.SMILEY SYDNEY W.FALK,JR.
'SAN JACINTO CENTER,SUITE 1800 THOMAS M.POLLAN' DAVID MENDEZ'
98 SAN JACINTO BOULEVARD ANN CLARKE SNELL CATHERINE BROWN FRYER'
AUSTIN,TEXAS 78701-4039
ANDREW KEVER• PATRICIA E.RANT
CAROLYN E.SHELLMAN J.GREG HUDSON
S 1 2/472-8021 DOUGLAS G.CAROOM' WILLIAM D.DUGAT III
LINDA AAKER JESUS SIFUENTES
TELECO PY ONLY:512/320-5638 - MYRA A.McDANIEL DEBORAH HERZBERG LOOMIS
SUSAN C.GENTZ BARNEY L.KNIGHT
ROBIN A.CASEY KELLEY K.ATKINSON
VALARIE SCOTT BRISTOL
'Board Certified,Administrative Law—
Texas Board of Legal Specialization
October 1, 1990
Ms . Joanne Land
Assistant City Manager
City of Round Rock
221 East Main Street
Round Rock, Texas 78664
RE: Ethics Review Commission, October 8, 1990 Meeting
Dear Joanne:
At the September 10 , 1990 meeting, the Ethics Review
Commission considered several procedural matters and operating
preferences. They voted upon each of those separately. I believe
it important they be reduced to writing on a formal basis and
propose an agenda item for that purpose. Further, in reviewing the
ordinance, it struck me that two of the procedural issues should be
recommended to Council as minor amendments to the Ordinance.
Should Council amend the Ordinance, it will render their procedural
preferences enforceable. An appropriate Resolution for taking this
action is enclosed.
The Commission further considered the potential use of a
complaint form. The purpose of the complaint form was to both
assist the complainant with structuring a complaint and to aid the
Commission in subsequently considering that complaint. A copy of
the proposed complaint is enclosed.
These are the only items I have for the Commission meeting of
October 8 . It appears that, upon completion of these two items,
the Ethics Review Commission will have completed their
organizational steps . After this meeting, I do not anticipate the
necessity for scheduling future meetings. In summation, the Ethics
Review Commission should be in a posture to await the request for
an advisory opinion or the filing of a complaint prior to their
next meeting.
Appropriate agenda items for these two issues are as follows :
Consider adoption of resolution formalizing
the required and suggested procedures of the
Commission and recommending amendments to
Sections G(1 ) and G(2) of the Ordinance.
Consider and act upon approval of the
suggested form for filing complaints pursuant
to Chapter 1, §9 of the Code of Ordinances of
the City of Round Rock, Texas
In the event there are any questions regarding this, please
give me a call.
Very truly yours,
Barney L. K t
BLK/ss
Enclosure
r
1
ETHICS REVIEW COMMISSION,
CITY OF ROUND ROCK; TEXAS '
WHEREAS the City Council of the City of Round Rock, Texas adopted Ordinance No.
2469 creating the Ethics Review Commission ("Commission") and providing -duties and
responsibilities of the Commission as therein set forth, together with specified procedures and
time limitations; and
WHEREAS the Ethics Review Commission has implied authority to .establish rules of
conduct and procedures for the conduct of its business in a manner not in conflict with the
provisions of said Ordinance; and
WHEREAS Section F( ) provides that the Commission may make recommendations to
the,City Council for amendments to the Ordinance.
NOW THEREFORE be it resolved by the Ethics Review Commission that:
SECTION 1:
(a) Request for Advisory Opinions pursuant to-Section F(8) shall be filed-with the City
Secretary. In the event a member of,the Ethics Review Commission is contacted by any
person requesting,an Advisory Opinion, said person shall be immediately 'referred to the
City Secretary. Outside the confines of a Commission meeting and prior to issuance of
an Opinion by the Commission, a member of the Commission should avoid all discussion
and comment with regard.to a potential or pending request for an Advisory Opinion.
(b) Upon receipt ,of a request for an Advisory Opinion, the City Secretary shall
promptly forward a copy of said request to the legal counsel of the Commission and to
each memberof the Commission.-The Commission's legal counsel shall draft a proposed
opinion for-the Commission's consideration and cause a copy of the draft Opinion to be
distributed to members of the Commission with the -agenda and information for the
meeting at which the Opinion will be considered. The .Chair shall call meetings as
necessary to effectuate the requirements of Section F(8).
SECTION 2:
The regular meetings of the Commission shall be held on a Monday at 7:00 P.M.
Agenda items and supporting material for such meetings must be delivered to the City
Secretary on or before 12:00 noon of the immediately preceding Wednesday.
SECTION 3:
(a) A complaint filed pursuant to Section G(2) shall not be deemed to be a complaint
upon the initiative of the Commission except that. the: complaint shall be 'upon the
signature of two members of the Commission, one of which must be -the Chair of the
Commission, and is filed after consultation with the legal counsel of the Commission..
(b) Except as provided in 3(a) above,-a complaint filed by anyindividual member of the.
Commission shall be considered as a complaint by a private citizen. In such event, the
member of the Commission filing the complaint should not participate in any future
meeting of the Commission wherein .such complaint is considered, except and provided
the Commissioner filing the complaint may participate as a complainant only.
SECTION 4:
j
The Commission shall adopt-a recommended form for use in filing of sworn complaints
alleging a violation of Ordinance No. 2469. The purpose of the complaint form will be
to assist the complainant to state a proper complaint and to assist the Commission in the -
consideration thereof. The complaint form shall require identification of the specific
section or sections of Ordinance No. 2469 alleged to have been violated.
BE IT FURTHER RESOLVED the Ethics Review Commission recommend to the City
Council that:'
Section G(1) of Ordinance No. 2469 be amended to read as follows, to wit:
".A sworn complaint based on personal knowledge-alleging" a
violation(s) of this Section shall specify the provision(s) of this
section alleged to have been violated, and-shall name the city
official, candidate, or employee being charged. . The complaint
shall be made upon the form attached hereto as, Exhibit A and
incorporated herein for all purposes."
Section G(2) of Ordinance No. 2469 be amended to read as follows, to wit:
ETHICS.BLK PAGE 2
Upon the aforesaid sworn complaint of any person being filed
.with the City Secretary's office, or on its own initiative, the
Commission shall consider possible violations of this section by
city officials, candidates and employees. A complaint shall not be
deemed to be filed on the initiative of the Commission save and
except the complaint be signed and sworn to by two members of
the . Commission, one of which is the Chairman of the
Commission, after consultation with the legal counsel of the
Commission. A complaint filed by an individual member of the
Commission shall be deemed to have been filed in the Commission
member's capacity as a private citizen and, in such event, the
member of the Commission filing the complaint shall not thereafter
participate in a Commission meeting at which such complaint is
considered save and except that the Commissioner filing the
complaint may participate as a complainant at such meeting."
ADOPTED on this the day of October, 1990.
ETHICS REVIEW COMMISSION
Gene Glaeser, Chairman
ATTEST:
Assistant eCijtyffiS,ecretary
f
ETHICs.BLK PAGE 3