Minutes - Regular Meeting - 4/23/2001 Ethics Review Commission Meeting
April 23, 2001
The Ethics Review Commission of the City of Round Rock, Texas met on
Monday, April 23, 2001 at 6:00 p.m. in the Administration Conference Room in
City Hall, 3rd Floor, 221 East Main Street, Round Rock, Texas.
Roll Call: Those members present were Commissioners Sue Raye,
Chairman, Marvin Denman, Vice-Chairman, Dennis Graffious, and Berry
Sullivan. Commissioners Carol Chafin, Phil Scott and Ray Shannon were
absent. Also present were Assistant City Manager/City Secretary Joanne Land
and Special Counsel for the Ethics Review Commission Barney Knight.
Citizens Communications: None
Consider discussion concerning the resolution regarding civil service,
which was recently approved by the City Council.
Commissioner Raye read the resolution (Attachment "A"), which was
approved by the City Council. She said that she asked that this item be placed
on the agenda because two individuals asked the Ethics Review Commission to
review the action of the City Council and asked if it was against the law for the
Council to tell citizens how to vote on a proposition.
The Commission briefly discussed the action of the Council.
Commissioner Denman expressed his concern on the Council approving
a resolution in support of initiatives. He added that possibly the Council could
remain neutral as a body regarding these types of items.
• ATTACHMENT "A"
RESOLUTION NO. R-01-04-12-14A1
WHEREAS, on Saturday, May 5, 2001, the citizens of Round Rock
will go to the polls to decide whether or not to adopt Chapter 143 of
the Local Government Code (the "Civil Service Law" , ) and
WHEREAS, the Civil Service Law was first adopted in 1947 in
response to abuse under the "spoils system" under which police officers
and fire fighters owed their jobs to local politicians, and
WHEREAS, the City of Round Rock has never hired, promoted, or
fired firefighters on the basis of their relationships with City
Councilmembers, and
WHEREAS, the City of Round Rock has a long, proud tradition of
promoting and compensating all city employees on the basis of job
performance and merit, and"
WHEREAS, under the Civil Service Law, recruitment, selection, and
promotion must be done on the basis of a written exam, with no
consideration for outstanding job performance or merit and no provision
for special consideration for female or minority applicants, and
WHEREAS, under the Civil Service Law, the best, hardest working,
firefighters make the same as the worst firefighter in the City, and
WHEREAS, because the Civil Service Law prohibits rewarding
outstanding employees on the basis of merit, it promotes mediocrity in
the workplace, and
WHEREAS, under the Civil Service Law, benefits such as sick leave
and vacation exceed benefits available to other city employees, which
raises issues of equity among fellow employees, and
0i\WPDOCS\RESOLUTI\R10412A1.WPD/sls
WHEREAS, under the Civil Service Law, the City' s firefighters
will no longer answer to the Fire Chief, the City Manager, or the City
Council, but to professional arbitrators who do not have a personal
stake in the community, and
WHEREAS, if adopted, the administration of the Civil Service Law
will cost the taxpayers of Round Rock hundreds of thousands of dollars
each year with no added benefit, Now Therefore
BE IT RESOLVED BY THE COUNCIL OF THE CITY OF ROUND ROCK, TEXAS,
That the City Council opposes the adoption of the firefighters
civil service law and urges the citizens of Round Rock to vote
"Against" on the proposition in the upcoming election.
The City Council hereby finds and declares that written notice of
the date, hour, place and subject of .the meeting at which this
Resolution was adopted was posted and that such meeting was open to the
public as required by law at all times during which this Resolution and
the subject matter hereof were discussed, considered and formally acted
upon, all as required by the Open Meetings Act, Chapter 551, Texas
Government Code, as amended, and the Act.
RESOLVED this 12th day of April, 2001 .
1"ga Wpm
ROB A. STLUKA, JR. , Mayor
City of Round Rock, Texas
ATTEST:
N&A;�w
City Secretay
0.906rIAJ6 mAer1uEz, *4ssy.
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Ethics Review Commission Meeting
April 23,2001
Mr. Knight informed the Commission that this was not in the purview of
their duties or of the Ethics Ordinance.
It was the consensus of the Commission that the action of the Council
was not in the purview of the Commissions duties and found that is was not
applicable to the Ethics Ordinance. Thus closing further discussion of this
item.
Consider discussion on all aspects of the Round Rock Ethics Ordinance
and, if necessary, recommend amendments to the ordinance.
The Commission reviewed each section of the Ethics Ordinance stopping
to either discuss or ask for clarification of the paragraphs. It was the
consensus of the Commission to make minor amendments to the Ethics
Ordinance. These amendments are noted on pages 3, 4, 5, 7, 10, and 11 of the
Ethics Ordinance. (Attachment "B") Other points that the Commission would
like to see addressed are as follows:
• Concerning Section F7 that the annual meeting of the Ethics Review
Commission should occur between 60 to 90 days after the
appointments are made. This would not be an amendment to the
Ethics Ordinance but rather a directive to staff.
• An individual commission member or designated liaison of the
Commission may communicate with the Ethics Commission's General
Counsel regarding the process and procedure to help direct the
investigation of a complaint.
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OAdA;Iv���
� , ATTACHMENT'"'B"
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.
I � H 15. Source of Income: Abusiness 8� Any usness entity, employment,
VV .investment, or activity which earned or produced income,
including interest, dividends, royalties or rents, which has
i� 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
0 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 --I-�Y cff 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.
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Ong 71.0. a L4 9
2 . General Provisions
a. No -J 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 or employee shall intentions ly or, :
knowingly use one's official position or
facilities, equipment, or supplies for the pecuniary gain
or advantage of said official, employee, or othe s, or use
-OWYtt��- t —mow vehicles, printing facilities postage
facilities or long distance telephone service f r personal
reasons, for pecuniary gain or advantage, or in any
political campaign. ��C6� J��ry
C. No -fi�l 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_pa_�-o r g��
j o
e. No 1 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 y-�f or
employee shall vote on or participate in any ecision
making process on any matter concerning real prop rt
or
a business entity if the or employee as a
substantial interest in the business entity or real
property. wtrj�
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.
�y�,t� g. None of the foregoing shall be construed to prohibit
U aj _ r___,1 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.
OA ` 01-LJ19
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 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 e . �, 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 employees 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.
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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.
OjVV
6. oti, Qmy
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 request 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 .
OAAUna,�n� 7 . a�� g
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.
QZ(ZL 6. After a complaint has been filed and during the pendency
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
C M complaint, except at a meeting of the Commission.
Co aA%4U 7. As soon as reasonably possible, but in no event more than
Wit 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
CQ� ommission 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.
ub-cu. If the Commission does not determine that there are
&MMWOn reasonable grounds to believe that a violation of this
came 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.
n� 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)
11.
Ethics Review Commission Meeting
April 23,2001
Mr, Knight will draft a proposed amendment to the Ethics Ordinance
that reflects the recommendations of the Commission.
Adjournment:
There being no further business, the meeting adjourned at 9:00 p.m.
Respectfully submitted,
Christine Martinez
Assistant City Secretary
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Ethics Review Commission Meeting3�
July 30, 2001
The Ethics Review Commission of the City of Round Rock, Texas met on Monday, July 30,
2001 at 7:00 p.m. in the City Council Chamber, City Hall, 221 East Main Street,Round Rock, Texas.
Roll Call: Those members present were Vice-Chairman Marvin Denman, Commissioners
David Adkins, Carol Chafin, Dennis Graffious,Philip Merrill, Phil Scott and Berry Sullivan. Also
present were Assistant City Manager/City Secretary Joanne Land and Special Counsel for the Ethics
Review Commission Barney Knight.
Approval of Minutes: March 19, 2001 and April 23, 2001
The minutes of March 112001 were withdrawn at the request of staff.
MOTION: Commissioner Graffious moved to approve the minutes of April 23, 2001 as
submitted. Commissioner Adkins second the motion.
VOTE:Ayes: Commissioner Adkins
Commissioner Chafin
Commissioner Graffious
Commissioner Merrill
Commissioner Scott
Commissioner Sullivan
Commissioner Denman
Noes: None
ACTION: The motion carried unanimously.
Citizens Communications: None
Election of Chairman:
Vice-Chairman Denman opened the floor for nominations. Berry Sullivan and Marvin Denman
were nominated.
Ethics Review Commission Meeting
July 30,2001
The results of a poll of the Commissioners are as follows:
Commissioner Sullivan - 6 votes appointed Chairman
Commissioner Denman - 1 vote
Chairman Sullivan chaired the remainder of the meeting.
6. Consider discussion on all aspects of the Round Rock Ethics Ordinance.
In response to Commissioner Adkins question, Mr. Knight responded as to why step relations
are not mentioned the City and State Ethics Ordinance.
The Commission discussed stepchildren and their grandparents, as it would pertain to the
ordinance.
Commissioner Denman noted that it is his understanding that City employees are directed not
to make endorsements in city elections whether as an individual or part of a group. He asked if that
should be addressed in the Ethics Ordinance or wherever appropriate. Mr. Knight responded that he
was not aware of that restriction being noted in the Charter or Personal Policy. Staff will double-check
both documents.
7. Consider review and action regarding the Round Rock Ethics ordinance amendment as
recommended by the Ethics Review Commission.
The Commission reviewed the draft ordinance amendment,which was provided by Mr. Knight.
After their review and discussion the Commission made minor amendments to the draft ordinance
amendment.
The first amendment was in the definition of Substantial Interest. The amendment is as follows:
"A e.45, effiei ' ^r employee `Mersa has a substantial interest in a business entity..." and "A e4y
ee erso has a substantial interest in real property..."
MOTION: Commissioner Denman moved to approve the amendment as noted. Commissioner
Graffious second the motion.
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Ethics Review Commission Meeting
July 30,2001
VOTE: Ayes: Commissioner Adkins
Commissioner Chafin
Commissioner Denman
Commissioner Graffious
Commissioner Merrill
Commissioner Scott
Commissioner Sullivan
Noes: None
ACTION: The motion carried unanimously.
The second amendment was to Section 2. Standards of Conduct, Subsection 1.903(2) General
Provisions (c) the following sentence was added to the end of this paragraph. "Except as otherwise
specifically authorized by ordinance."
MOTION: Commissioner Adkins moved to approve the amendment as noted. Commissioner
Denman second the motion.
VOTE: Ayes: Commissioner Adkins
Commissioner Chafin
Commissioner Denman
Commissioner Graffious
Commissioner Merrill
Commissioner Scott
Commissioner Sullivan
Noes: None
ACTION: The motion carried unanimously.
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Ethics Review Commission Meeting
July 30,2001
The third amendment was added to Section 4. Financial Disclosure. Subsection 9.E. (6)(c)
"...and who appear and request some action on the part of the City Council, cardand c�mtniss�
even though the action does not concern such business entity."
MOTION: Commissioner Denman moved to approve the amendment as noted. Commissioner
Graffious second the motion.
VOTE: Ayes: Commissioner Adkins
Commissioner Chafin
Commissioner Denman
Commissioner Graffious
Commissioner Merrill
Commissioner Scott
Commissioner Sullivan
Noes: None
ACTION: The motion carried unanimously.
MOTION: Commissioner Denman moved to approve the draft Amended Ethics Ordinance as
amended. Commissioner Adkins second the motion.
VOTE: Ayes: Commissioner Adkins
Commissioner Chafin
Commissioner Denman
Commissioner Graffious
Commissioner Merrill
Commissioner Scott
Commissioner Sullivan
Noes: None
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Ethics Review Commission Meeting
July 30,2001
ACTION: The motion carried unanimously.
Adjournment:
There being no further business,the meeting adjourned at 8:48 p.m.
Respectfully submitted,
Christine Martinez
Assistant City Secretary
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