Division
1: Declaration of Policy
Section
2-41
Statement of Purpose
It
is essential in a democratic system that the public have confidence in the
integrity, independence, and impartiality of those who act on their behalf in
government. Such confidence depends not only on the conduct of those who
exercise official power, but on the availability of aid or redress to all
persons on equal terms and on the accessibility and dissemination of information
relating to the conduct of public affairs. For the purpose of promoting
confidence in the government of the City of San Antonio and thereby enhancing
the city’s ability to function effectively, this code of ethics is adopted.
The code establishes standards of conduct, disclosure requirements, and
enforcement mechanisms relating to city officials and employees and others whose
actions inevitably affect public faith in city government, such as former city
officials and employees, candidates for public office, persons doing business
with the city, and lobbyists. By prohibiting conduct incompatible with the
city’s best interests and minimizing the risk of any appearance of
impropriety, this code of ethics furthers the legitimate interests of democracy.
Public
service
is a public trust. All city officials and employees are stewards of the public
trust. They have a responsibility to the citizens of San Antonio to enforce the
City Charter and the associated ordinances and codes. To ensure and enhance
public confidence in City Government, each city official must not only adhere to
the principles of ethical conduct set forth in this code and technical
compliance therewith, but they must scrupulously avoid the appearance of
impropriety at all times.
As
used in this code of ethics, the following words and phrases have the meaning
ascribed to them in this Section, unless the context requires otherwise or more
specific definitions set forth elsewhere in this code apply
(a)
Acceptance. A written or verbal indication
that someone agrees; “Acceptance” of an offer of subsequent employment or
business opportunities includes legally binding contracts and all informal
understandings that the parties expect to be carried out.
An agreement, either by express act or by
implication from conduct, to the terms of an offer so that a binding contract is
formed.
(b)
Affiliated. Business entities are
“affiliated” if one is the parent or subsidiary of the other or if they are
subsidiaries of the same parent business entity.
(c)
Affinity. Relationship by “affinity”
(by marriage) is defined in Sections 573.024 and 573.025 of the Texas Government
Code.
(d)
Before the City. Representation or appearance
“before the city” means before the City Council; before a board, commission,
or other city entity; or before a city official or employee.
Representation “before the city” does not
include representation before a board where members of said board are not wholly
appointed by the City Council.
(e)
Benefit. “Benefit” means anything
reasonably regarded as pecuniary gain or pecuniary advantage, including a
benefit to any other person in whose welfare the beneficiary has a direct and
substantial interest.
(f) Entity. "Entity" means a sole proprietorship, partnership, firm, corporation,
holding company, joint‑stock company, receivership, trust, unincorporated
association, or any other entity recognized by law.
(g)
Candidate.
“Candidate” means a person who knowingly and willingly takes
affirmative action for the purpose of gaining nomination or election to public
office or for the purpose of satisfying financial obligations incurred by the
person in connection with the campaign for nomination or election.
Examples of affirmative action include:
(1)
the filing of a campaign treasurer
appointment, except that the filing does not constitute candidacy or an
announcement of candidacy for purposes of automatic resignation provisions of
Article XVI, Section 65, or Article XI, Section 11, of the Texas Constitution;
(2)
the filing of an application for a
place on a ballot;
(3)
the making of a public announcement of
a definite intent to run for public office in a particular election, regardless
of whether the specific office is mentioned in the announcement;
(4)
before a public announcement of intent,
the making of a statement of definite intent to run for public office and the
soliciting of support by letter or other mode of communication; and
(5)
the soliciting or accepting of a
campaign contribution or the making of a campaign expenditure.
(h)
City. “City” means the City of San Antonio.
(i)
Code
of Ethics.
“Code of ethics,” “ethics
code,” or “this code” means Divisions 1 through
10 of this Chapter, its amendment(s) and/or
enhanced definitions.
(j)
“Complainant”
means
an individual who has filed a sworn complaint with the City Clerk as provided in
Division 8, Section 2-83 (Complaints).
(k)
Confidential Government Information.
“Confidential government information” includes all information held by the
city that is not available to the public under the Texas Public Information Act
and any information from a meeting closed to the public pursuant to the Texas
Open Meetings Act, unless disclosure is permitted under the Open Meetings Act.
(l)
Consanguinity.
Relationship
by “consanguinity” (by blood) is defined in Sections 573.022 and 573.023 of
the Texas Government Code.
(m)
Discretionary Contract. “Discretionary
contract” means any contract other than those which by law must be awarded on
a low or high qualified bid basis. Discretionary contracts do not include those contracts subject to Section
252.022(a)(7) of the Texas Local Government Code or those contracts not
involving an exercise of judgment or choice.
(n)
Economic Interest. “Economic interest”
includes, but is not limited to, legal or equitable property interests in land,
chattels, and intangibles, and contractual rights having more than de minimis
value. Service by a city official or employee as an officer, director, advisor,
or otherwise active participant in an educational, religious, charitable,
fraternal, or civic organization does not create for that city official or
employee an economic interest in the property of the organization.
Ownership
of an interest in a mutual or common investment fund that holds securities or
other assets is not an economic interest in such securities or other assets
unless the person in question participates in the management of the fund. Ownership
of stock in a publicly traded corporation does not constitute ownership for
purposes of this code if the employee or official owns less than 10% of the
voting stock or shares of the entity and the value of the stock is less than
$15,000.
(o)
Employee. Except as provided in Section
2-52 of Division 2 (Prohibited Interests in
Contracts), Section 2-58(c) of Division 3 (Discretionary Contracts), and
Division 7 (Financial Disclosure), the term “employee” or “city
employee” is any person listed on the City of San Antonio payroll as an
employee, whether part-time or full-time.
(p)
Former City Official or Employee.
A “former city official” or “former city employee” is a person
whose city duties terminate on or after the effective date of this code.
(q)
Gift. “Gift” means a voluntary transfer of property
(including the payment of money) or the
conferral of a benefit having pecuniary value (such as the rendition of services
or the forbearance of collection on a debt), unless consideration of equal or
greater value is received by the donor.
(r)
Indirect Ownership. A person “indirectly
owns” an equity interest in a business entity where the interest is held
through a series of business entities, some of which own interests in others.
(s)
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.
(t)
Knowingly.
A person acts knowingly, or with knowledge, with respect to the nature of his or
her conduct or to circumstances surrounding his or her conduct when he or she is
aware of the nature of his or her conduct or that the circumstances exist. A
person acts knowingly, or with knowledge, with respect to a result of his or her
conduct when he or she is aware that his or her conduct is reasonably certain to
cause the result.
(u)
Official. Except in Division 5
(Lobbyists), the term “official” or “city official” includes the
following persons:
The Mayor;
Members
of the City Council;
Municipal
Court Judges and Magistrates;
The
City Manager;
Deputy
City Manager;
Assistant
City Managers;
Assistants
to the City Manager;
City Clerk;
Deputy City Clerk;
Assistant
to the City Clerk;
Senior Deputy Court Clerk;
Deputy Court Clerk;
All
department heads and assistant department heads;
Internal Auditor and all assistant internal
auditors;
Market Square Superintendent;
Assistant to City Council;
Assistant to Mayor;
Secretary to City Manager;
Executive Secretaries;
Community Action Manager;
Public Utilities Supervisor; and
Members of all boards, commissions (except the Youth Commission
whose members are minors), committees, and other bodies created by the City
Council pursuant to federal or state law or City ordinance, including entities
that may be advisory only in nature, who are appointed by City Council or who
are designated in the by-laws or organization papers of the entity to serve on
behalf of the city; and board members of any entity who are
appointed by the City Council to such board membership.
The
term “official” has a different meaning in Division 5 (Lobbyists), which is
defined in Section 2-62(a)
of that Division. The term “officer” is defined in Section 2-52(e)(2)
of Division 2 (Prohibited Interests in Contracts) and
Section 2-58(c)(2) of Division 3 (Discretionary Contracts) and is not synonymous
with any use of the term “official” in this code.
(v)
Official Action. “Official action” includes:
(1)
any affirmative act (including the making of a
recommendation) within the scope of, or in violation of, an official or
employee’s duties, and
(2)
any failure to act, if the official or employee is
under a duty to act and knows that inaction is likely to affect substantially an
economic interest of the official or employee or any person or entity listed in
Subsections 2-43(a)(2) through (9) of Division 2 (Conflicts of Interest).
(w)
Official Information. “Official
information” includes information gathered pursuant to the power or authority
of city government.
(x)
Ownership. Ownership of an interest in a
mutual or common investment fund that holds securities or other assets does not constitute direct or indirect
ownership of such securities or other assets unless the person in question
participates in the management of the fund. Ownership of stock in a
publicly traded corporation does not constitute ownership for purposes of this
code if the employee or official owns less than 10% of the voting stock or
shares of the entity and the value of the stock is less than $15,000.
(y)
Partner. Someone who engages in an
activity or undertaking with another; “Partner”
includes partners in general partnerships, limited partnerships, and joint
ventures. One who
shares or takes part with another especially in a venture with shared benefits
and shared risks.
(z)
Personally and Substantially Participated. “Personally
and Substantially Participated” means to have taken action as an official or
employee through decision, approval, disapproval, recommendation, giving advice,
investigation or similar action.
The fact that the person had
responsibility for a matter does not by itself establish that the person “personally and substantially
participated” in the matter.
(aa)
Recklessly.
A person acts recklessly, or is reckless, with
respect to circumstances surrounding his conduct or the result of his conduct
when he is aware of but consciously disregards a substantial and unjustifiable
risk that the circumstances exist or the result will occur. The risk must be of
such a nature and degree that its disregard constitutes a gross deviation from
the standard of care that an ordinary person would exercise under all the
circumstances as viewed from the actor's standpoint.
(bb)
Representation. “Representation”
is a presentation of fact – either by words or by conduct – made to induce
someone to act. Representation does not include appearance as a witness in
litigation or other official proceedings.
(cc)
Respondent means an
individual identified in a sworn complaint to have allegedly violated the Ethics
Code or the Code of Municipal Campaign Finance Regulations of the City of San
Antonio.
(dd) Solicitation. “Solicitation” of subsequent employment or business opportunities includes all forms of proposals and negotiations relating thereto.
Division 2: Present City
Officials and Employees
Section 2-43
conflicts
of interest
(a)
General Rule. To avoid the appearance and
risk of impropriety, a city official or employee shall not take any official
action that he or she knows is likely to affect the
economic interests of:
(1)
the official or employee;
(2)
his or her parent, child, spouse, or other family
member within the second degree of consanguinity or
affinity;
(3)
his or her outside client;
(4)
a member of his or her household;
(5)
the outside employer of the official or
employee or of his or her parent, child (unless the child is a minor), spouse, or
member of the household (unless member of household is a minor);
(6)
a business entity in which the official
or employee knows that any of the persons listed in Subsections (a)(1) or (a)(2)
holds an economic interest as that term is defined in Section 2-42;
(7)
a business entity which the official or
employee knows is an affiliated business or partner of a business entity in
which any of the persons listed in Subsections (a)(1) or (a)(2) holds an
economic interest as defined in Section 2-42;
(8) a business entity or nonprofit entity for which the city official or employee serves as an officer or director or in any other policy making position; other than non-profit boards to which the official or employee is appointed by the City Council or city management as a non-voting member to represent the best interests of the city; or
(9)
a person or business entity with whom,
within the past twelve months:
(A)
the official or employee, or his or her spouse, directly or indirectly
has
(i)
solicited an offer of employment for
which the application is still pending,
(ii)
received an offer of employment which
has not been rejected, or
(iii)
accepted an offer of employment; or
(B)
the official or employee, or his or her spouse, directly or indirectly
engaged in negotiations pertaining to business opportunities, where such
negotiations are pending or not terminated.
(b)
Recusal and Disclosure.
A city
official or employee whose conduct would otherwise
violate Subsection (a) must recuse himself or herself. From the time that the
conflict is, or should have been
recognized, he or she shall:
(1)
immediately refrain from further
participation in the matter, including discussions with any persons likely to
consider the matter; and
(2)
promptly file with the City Clerk the
appropriate form for disclosing the nature and extent of the prohibited conduct.
(3)
a supervised employee shall promptly
bring the conflict to the attention of his or her supervisor, who will then, if necessary, reassign
responsibility for handling the matter to another person; and
(4)
a member of a board shall promptly disclose the
conflict to other members of the board and shall not be present during the
board’s discussion of, or voting on, the matter.
(c)
Definitions. For
purposes of this rule:
(1)
An action is likely to affect an
economic interest if it is likely to have an effect on that interest that is
distinguishable from its effect on members of the public in general or a
substantial segment thereof; and
(2)
The term client includes business relationships of a highly personalized
nature, but not ordinary business-customer relationships.
(a)
General Rule. A city
official or employee may not use his or her official position to unfairly
advance or impede private interests, or to grant or secure, or attempt to grant
or secure, for any person (including himself or herself) any form of special
consideration, treatment, exemption, or advantage beyond that which is lawfully
available to other persons.
A
city official who represents to a person that he or she may provide an advantage
to that person based on the official’s position on a board or commission
violates this rule.
(b)
Special Rules. The
following special rules apply in addition to the general rule:
(1)
Acquisition
of Interest in Impending Matters. A city official
or employee shall not acquire an interest in, or be affected by, any contract,
transaction, zoning decision, or other matter, if the official or employee
knows, or has reason to know, that the interest will be directly or indirectly
affected by impending official action by the city.
(2)
Reciprocal
Favors. A city official or employee may not enter into an agreement or
understanding with any other person that official action by the official or
employee will be rewarded or reciprocated by the other person, directly or
indirectly.
(3)
Appointment
of Relatives. A city official or employee shall not
appoint or employ or vote to appoint or employ any relative within the third
degree of consanguinity or affinity or any member of his or her household to any office or position of employment
within the city.
(4)
Supervision
of Relatives.
No official or employee shall be permitted to be in the line of supervision of a
relative within the third
degree of consanguinity or third degree of affinity or any member of his
or her household.
Department heads are responsible for enforcing this policy. If an employee, by
reason of marriage, promotion, reorganization, or otherwise, is placed into the
line of supervision of a relative, one of the employees will be reassigned or
other appropriate arrangements will be made for supervision.
(c)
Recusal and Disclosure.
A city official or employee whose conduct would otherwise violate this
Section shall adhere
to the recusal and disclosure provisions provided
in Section 2-43(b) of Division 2 (Conflicts
of Interest).
(a)
General Rule.
(1)
A city official or employee shall not solicit,
accept, or agree to accept any gift or benefit for himself or herself or his or
her business:
(A)
that
reasonably tends to influence or reward official conduct; or
(B)
that
the official or employee knows or should know is being offered with the intent
to influence or reward official conduct.
A
city official or employee may accept a public award or reward for meritorious
service of professional achievement, provided that the award or reward is
reasonable in light of the occasion and it is not prohibited under the Texas
Penal Code Section 36.08.
(2)
A city official or employee shall not
solicit, accept, or agree to accept any gift or benefit, from:
(A)
any
individual or entity doing or seeking to do business with the City; or
(B)
any
registered lobbyist or public relations firm; or
(C)
any
person or entity seeking action or advocating on zoning or platting matters before a city
body,
save and except for
i)
items received that are of nominal value; or
ii)
meals in an individual expense of $50 or less at any occurrence, and no more
than a cumulative value of $500 in a single calendar year from a single source.
Doing business
with the city includes, but is not limited to, individuals and entities that are
parties to a discretionary contract, individuals and entities that are
subcontractors to a discretionary contract, and partners and/or parents and/or
subsidiary business entities of any individuals and entities that are parties to
a discretionary contract
and individuals or entities that seek or have low-bid contracts
with the city.
(b)
Special Applications.
Subsection (a)(2) does not include:
(1)
a gift to a city official or employee
relating to a special occasion, such as a wedding, anniversary, graduation,
birth, illness, death, or holiday, provided that the value of the gift is fairly
commensurate with the occasion and the relationship between the donor and
recipient;
(2)
advancement for or reimbursement of
reasonable expenses for travel in connection with official duties authorized in
accordance with city policies; such payments must be disclosed in a travel
report as required in Section 2-76; payment
for or reimbursement of expenses for travel in excess of authorized rates under
city policy will be treated as a personal gift to the official or employee for
any applicable reporting requirements under Sections 2-73,
2-74 or 2-78;
(3)
a public award or reward for
meritorious service or professional achievement, provided that the award or
reward is reasonable in light of the occasion and
it is not prohibited under the Texas Penal Code Section 36.08;
(4)
a loan from a lending institution made
in its regular course of business on the same terms generally available to the
public;
(5)
a scholarship or fellowship awarded on
the same terms and based on the same criteria that are applied to other
applicants;
(6)
any solicitation for civic or
charitable causes;
(7)
admission to an event in which the city
official or employee is participating in connection with his or her spouse’s
position;
(8)
ceremonial
and protocol gifts presented to city officials from a foreign
government or international or multinational organization and accepted
for the City of San Antonio;
(9)
admission to a widely attended event, such as a convention, conference,
symposium, forum, panel discussion, dinner, viewing, reception or similar event,
offered by the sponsor of the event, and unsolicited by the City official or
employee, if
(A)
the official or employee participates in the event as a speaker or panel
participant by presenting information related to matters before the City; or
(B)
the official or employee performs a ceremonial function
appropriate to that individual’s position with the City; or
(C) attendance at the event is appropriate to the performance of the official duties or representative function of the official or employee;
(10)
(11) admission to training or education program, including meals and refreshments furnished to all attendees, if such training is related to the official or employee’s official duties and the training is in the interest of the City.
(c)
Campaign Contribution Exception.
The general rule stated in Subsection (a) does not apply to a campaign
contribution made pursuant to the Texas Election Code.
(d)
Gifts to Closely Related Persons.
A city official or employee shall take reasonable steps to persuade:
(1)
a parent, spouse, child, or other
relative within the second
degree of consanguinity or affinity, or
(2)
an outside business associate
not
to solicit, accept, or agree to accept any gift or benefit:
(3)
that reasonably tends
to influence or reward the city official’s or employee’s official conduct,
or
(4)
that the official or employee knows or
should know is being offered with the intent to influence or reward the city
official’s or employee’s discharge of official duties.
If
a city official or employee required to file a financial disclosure report under
Division 7 (Financial Disclosure) knows that a gift or benefit meeting the
requirements of Subsections (d)(3) or (d)(4) of this rule has been accepted and
retained by a person identified in Subsections (d)(1) or (d)(2) of this rule,
the official or employee shall promptly file a report with the Office of the City Clerk disclosing the donor, the value of the gift or benefit, the recipient,
and the recipient’s relationship to the official or employee filing the
report.
(e)
Definitions.
(1) For
purposes of this rule, a person is an “outside
business associate” if both that person and
the city official or employee own, with respect to the same business entity:
(A)
ten
(10) percent or more of the voting stock or shares of the business entity, or
(B)
ten (10) percent or more of the fair market value of the business entity.
(2) For purposes of this rule, a “sponsor” of
an event is the person or persons primarily responsible for organizing the event
or sponsoring a table or tables. A person who simply contributes money or buys tickets to an event is not
considered a sponsor.
(3) A “source” is the individual or entity that funds an expenditure or series of expenditures. Expenditures made by multiple agents of the same source are deemed to be expenditures from a single source.
(4) Any item of "nominal value" is an item with a fair market value of $50 or less.
(a)
Improper Access.
A city official or employee shall not use his or her position to obtain official
information about any person or entity for any purpose other than the
performance of official duties.
(b)
Improper Disclosure or Use.
A city official or employee shall not intentionally, knowingly, or recklessly
disclose any confidential information gained by
reason of said official’s or employee’s position concerning the property,
operations, policies or affairs of the city.
This rule does not prohibit:
(1)
any disclosure that
is no longer confidential by law; or
(2)
the confidential reporting of illegal
or unethical conduct to authorities designated by law.
Section 2-47
Representation of Private Interests
(a)
Representation Before the City by a
Member of the Board. A city official or employee who is a member of a board or other
city body shall not represent any person, group, or entity:
(1)
before that board or body;
(2)
before city staff having responsibility
for making recommendations to, or taking any action on behalf of, that board or
body, unless the board or body is only advisory in nature; or
(3)
before a board or other city body which
has appellate jurisdiction over the board or body of which the city official or
employee is a member, if any issue relates to the official’s or employee’s
official duties.
(b)
Representation Before the City by City
Officials and Employees.
(1)
General
Rule. A city official or employee shall not represent for compensation
any person, group, or entity, other than himself or herself, or his or her
spouse or minor children, before the city. For purposes of this subsection, the
term compensation means money or any other thing of value that is received, or
is to be received, in return for or in connection with such representation.
(2)
Exception
for Board Members. The rule stated in subsection b(1)
does not apply to a person who is classified as a city official only because he
or she is an appointed member of a board or other city body.
(c)
Prestige of Office and Improper
Influence.
In connection with the representation of private interests before the city, a
city official or employee shall not:
(1)
assert the prestige of the official’s
or employee’s city position for the purpose of advancing private interests; or
(2)
state or imply that he or she is able
to influence city action on any basis other than the merits.
(d)
Representation in Litigation Adverse to
the City.
(1)
Officials
and Employees (Other than Board Members). A city
official or employee, other than a person who is classified as an official only
because he or she is an appointed member of a board or other city body, shall
not represent any person, group, or entity, other than himself or herself, or
his or her spouse or minor children, in any litigation to which the city is a
party, if the interests of that person, group, or entity are adverse to the
interests of the city.
(2)
Board
Members.
A person who is classified as a city official only because he or she is an
appointed member of a board or other city body shall not represent any person,
group, or entity, other than himself or herself, or his or her spouse or minor
children, in any litigation to which the city is a party, if the interests of
that person, group, or entity are adverse to interests of the city and the
matter is substantially related to the official’s duties to the city.
Section 2-48
Conflicting Outside Employment
(a)
General Rule. A city
official or employee shall not solicit, accept, or engage in concurrent outside
employment which could reasonably be expected to impair independence of judgment
in, or faithful performance of, official duties.
(b)
Special Application.
The following special rule applies in addition to the general rule: A city
official or employee shall not provide services to an outside employer related
to the official’s or employee’s city duties.
(c)
Other Rules. The general
rule stated above applies in addition to all other rules relating to outside
employment of city officials and employees, including requirements for obtaining
prior approval of outside employment as applicable.
A
city official or employee shall not use, request, or permit the use
of city facilities, personnel, equipment, or supplies or
time while on city duty
for private purposes (including political purposes), except:
(a)
pursuant
to duly adopted city policies, or
(b)
to
the extent and according to the terms that those resources are lawfully
available to the public.
Section 2-50
Political Activity
Limitations
on the political activities of city officials and employees are imposed by state
law, the City Charter, and city personnel rules and are incorporated into this
provision by reference. In addition, the following ethical restrictions apply:
(a)
Influencing Subordinates.
A city official or employee shall not, directly or indirectly, induce or attempt
to induce any city subordinate of the official or employee:
(1)
to participate in an election campaign,
contribute to a candidate or political committee, or engage in any other
political activity relating to a particular party, candidate, or issue,
or
(2)
to refrain from engaging in any lawful
political activity.
A
general statement merely encouraging another person to vote does not violate
this rule.
(b)
Paid Campaigning.
A city official or employee shall not accept any thing of value,
directly or indirectly, for political activity relating to an item pending on
the ballot, if he or she participated in, or provided advice relating to, the
exercise of discretionary authority by a city body
that contributed to the development of the ballot item. Any thing of value does not include a meal or other item of nominal value the
city official or employee receives in return for providing information on an
item pending on the ballot.
(c)
Official Vehicles.
A city official or employee shall not display or fail to remove campaign
materials on any city vehicle under his or her control.
Limitations on the use of public property and resources for political
purposes are imposed by Section 2-49 of Division 2 (Public Property and
Resources).
(a)
Violations by Other Persons.
A city official or employee shall not intentionally or
knowingly assist
or induce, or attempt to assist or induce, any person to violate any provision
in this code of ethics.
(b)
Using Others to Engage in Forbidden Conduct.
A city official or employee shall not violate the provisions of this code of
ethics through the acts of another.
Section
2-52 Prohibited Interests in Contracts
(a)
Charter Provision.
The
Charter of the City of San Antonio in Section
141 states, “No officer or employee of the City
shall have a financial interest, direct or indirect, in any contract with the
City, or shall be financially interested, directly or indirectly, in the sale to
the City of any land, materials, supplies, or service, except on behalf of the
City as an officer or employee. Any willful violation of this Section shall
constitute malfeasance in office, and any officer or employee guilty thereof
shall thereby forfeit his office or position. Any violation of this Section,
with the knowledge, expressed or implied, of the person or corporation
contracting with the Council shall render the contract involved voidable by the
City Manager or the Council.”
(b)
Financial Interest.
An officer or employee is presumed to have a prohibited “financial interest”
in a contract with the city, or in the sale to the city of land, materials,
supplies, or service, if any of the following individuals or entities is a party
to the contract or sale:
(1)
the officer or employee;
(2)
his or her spouse, sibling, parent, child or other family member within the first
degree of consanguinity or affinity;
(3)
a business entity in which the officer
or employee, or his or her parent, child or spouse, directly or indirectly owns:
(A)
ten
(10) percent or more of the voting stock or shares of the business entity, or
(B)
ten
(10) percent or more of the fair market value of the business entity; or
(4)
a business entity of which any
individual or entity listed in Subsection (1), (2) or (3) is:
(A)
a
subcontractor on a city contract;
(B)
a
partner; or
(C)
a
parent or subsidiary business entity.
(c)
If an officer or
employee has or may potentially have a presumed prohibited financial interest in
a contract with the city, or in the sale to the city of land, materials,
supplies or service under subsection (b), the officer or employee may apply to
the Ethics Review Board for a determination and decision on whether the officer
or employee has an actual direct or indirect financial interest in that contract
or transaction.
The
Ethics Review Board will make this assessment using a standard of “clear and
convincing” evidence at a hearing. A
request for such a determination cannot be made confidentially.
The hearing must be posted two weeks in advance clearly stating the
officer or employee with the presumed prohibited financial interest, the
contract or transaction at issue, and the individual or business entity that is
the party to the contract or transaction at issue.
(d)
Any contract or
transaction already in place at the time the individual becomes an officer or
employee subject to the prohibitions in Section 141 of the City Charter may
remain in place until the contract expires or the transaction is completed
without creating a prohibited financial interest for the officer or employee.
(e)
Definitions.
For
purposes of enforcing Section 141 of the City Charter under the provision of
this Section:
(1)
a city “employee” is any employee of the city who is required to file
a financial disclosure statement pursuant to Section 2-73(a) of Division 7
(Financial Disclosure Report).
(2)
a city “officer” is:
(A)
the Mayor or any Council member;
(B)
a Municipal Court Judge or Magistrate;
(C)
a member of any board or commission which is more than advisory in
nature. The term does not include members of the board of another governmental
entity even if some or all of these members are appointed by the city.
(a)
A
member of the City Council who, in the course of official duties, has direct
supervisory authority over contract personnel shall make reasonable efforts to
ensure that the conduct of contract personnel is compatible with the obligations
imposed on city officials and employees by this code of ethics.
(b)
Contract
personnel employed by a member of the city council shall comply with all
obligations imposed by this code of ethics on city employees, except for
restrictions on political activity imposed on city employees by the City Charter
or the City’s Personnel Rules under Division 2, Section 2-50 of this Code.
Contract personnel, though, may not engage in political activity using
City resources or during duty hours.
(c)
All
contracts for administrative services between a member of the City Council and
independent contractors shall contain a provision requiring the independent
contractor to comply with all requirements imposed by this code on city
employees.
(a)
A City official or employee who has
knowledge of a violation of any of the provisions of this Ethics Code shall
report this violation as provided below within a reasonable time after the
person has knowledge of a violation. A City official or employee shall not
delegate to, or rely on, another person to make the report. Any City official or
employee who has knowledge that a violation of the Ethics Code has been
committed and intentionally fails to report such violation is subject to the
penalties herein.
(b)
A report made under this Section shall
be made to:
(1)
the Ethics Compliance Officer or his or
her designee; or
(2)
the Ethics Review Board.
(c)
A report shall state:
(1)
the name of the City official or
employee who believes that a violation of a provision of the Ethics Code has
been or may have been committed;
(2)
the identity of the person or persons
who allegedly committed the violation;
(3)
a statement of the facts on which the
belief is made; and
(4)
any other pertinent information
concerning the alleged violation.
Division 3:
Former City Officials and Employees
Section 2-55
Continuing Confidentiality
A
former city official or employee shall not use or disclose confidential
government information acquired during service as a city official or employee. This rule does not
prohibit:
(a)
any
disclosure that is no longer confidential by
law; or
(b)
the
confidential reporting of illegal or unethical conduct to authorities designated
by law.
(a)
Representation of Private Interests
Before the City by a Former Board Member. A person who was
a member of a board or other city body shall not represent any person, group, or
entity for a period of
two (2) years after
the termination of his or her official duties:
(1)
before that board or body;
(2)
before city staff having responsibility for making
recommendations to, or taking any action on behalf of, that board or body,
unless the board or body is only advisory in nature; or
(3)
before a board or other city body which
has appellate jurisdiction over the board or body of which the former city
official or employee was a member, if any issue relates to his or her former
duties.
(b)
Representation of Private Interests
Before the City by Former City Officials and Employees. A former
city official or employee shall not represent for compensation any person,
private group, or private entity, other than himself or herself, or his or her
spouse or minor children, before the city for a period of two (2) years after
termination of his or
her official duties. This subsection does not apply to a person who was
classified as a city official only because he or she was an appointed member of
a board or other city body. For purposes of this subsection, the term
compensation means money or any other thing of value that is received, or is to
be received, in return for or in connection with such representation.
(c)
Improper
Representation of Influence. In connection with the representation of private interests
before the city, a former city official or employee shall not state or imply
that he or she is able to influence city action on any basis other than the
merits.
(d)
Representation in Litigation Adverse to
the City. A former city official or employee shall not, absent consent from
the city, represent any person, group, or entity, other than himself or herself,
or his or her spouse or minor children, in any litigation to which the city is a
party, if the interests of that person, group, or entity are adverse to the
interests of the city and the matter is one in which the former city official or
employee personally and substantially participated prior to termination of his
or her official duties.
Section 2-57
Prior Participation in the
Negotiation,
Award or
administration of Contracts
A former city official or employee shall not, within two (2) years of the termination of official duties for the city, perform work on a compensated basis relating to a discretionary city contract, if he or she personally and substantially participated in the negotiation, award or administration of the contract.
A former city official or employee, within two (2)
years of termination of official duties, must disclose to the City Clerk
immediately upon knowing that he or she will perform work on a compensated basis
relating to a discretionary city contract for which he or she did not personally and
substantially participate in its negotiation,
award or administration.
This subsection does not apply to a person who was classified as a city
official only because he or she was an appointed member of a board or other city
body.
SECTION 2-58 Prohibited Interest in Discretionary Contracts
(a)
Impermissible Interest in Discretionary
Contract or Sale. This Subsection
applies only to contracts or sales made on a discretionary basis, and does not
apply to contracts or sales made on a competitive bid basis. Within one (1) year
of the termination of official duties, a former city officer or employee shall
neither have a financial interest, direct or indirect, in any discretionary
contract with the City, nor have a financial interest, direct or indirect, in
the sale to the City of any land, materials, supplies, or service. Any violation
of this Section, with the knowledge, expressed or implied, of the individual or
business entity contracting with the Council shall render the contract involved
voidable by the City Manager or the Council. A former city officer or employee
has a prohibited “financial interest” in a discretionary
contract
with the city, or in the sale to the city of land, materials, supplies, or
service, if any of the following individuals or entities is a party to the
contract or sale:
(1)
the former officer or employee;
(2)
his or her parent, child, or spouse;
(3)
a business entity in which the former
officer or employee, or his or her parent, child or spouse, directly or
indirectly owns:
(A)
ten
(10) percent or more of the voting stock or shares of the business entity, or
(B)
ten
(10) percent or more of the fair market value of the business entity; or
(4)
a business entity of which any
individual or entity listed in Subsection (1), (2) or (3) is:
(A)
a
subcontractor on a city contract;
(B)
a
partner; or
(C)
a
parent or subsidiary business entity.
(b)
Exception: Prior Employment or Status.
Notwithstanding subsection (a) of this Section 2-58 (Discretionary Contracts)
and Section 2-57 (Prior Participation in Negotiation,
Award or Administration of Contracts),
a former city official or employee may upon leaving official duties return to
employment or other status enjoyed immediately prior to commencing official city
duties.
(c)
Definitions. For
purposes of this Section:
(1)
A “former city employee” is any
person who, prior to termination of employee status, was required to file a
financial disclosure statement pursuant to
Section 2-73(a) of Division 7 (Financial Disclosure Report).
(2)
A “former city officer” is any
person who, immediately prior to termination of official duties, was:
(A)
the
Mayor or a member of City Council;
(B)
a
Municipal Court Judge or Magistrate; or
(C)
a
member of any board or commission which is more than advisory in nature.
The
term does not include members of the board of another governmental entity even
if some or all of these members are appointed by the city.
(3)
The term “contract” means any
discretionary contract other than a contract for the personal services of the
former city official or employee.
(4)
The term “service” means any
services other than the personal services of the former official or employee.
Division 4:
Persons Doing Business With the City
Section 2-59
Persons Seeking Discretionary Contracts
(a)
Disclosure of Parties, Owners, and
Closely Related Persons. For the purpose of assisting the city in the enforcement of
provisions contained in the City Charter and this code of ethics, an individual
or entity seeking a discretionary contract from the city is required to
disclose in connection with a proposal for a discretionary contract on a form
provided by the city:
(1)
the identity of any individual who
would be a party to the discretionary contract;
(2)
the identity of any entity
that would be a party to the discretionary contract and the name of:
(A)
any
individual or entity that would be a subcontractor on the discretionary
contract; and
(B)
any
individual or entity that is known to be a partner or a parent entity of any individual or entity who would be a
party to the discretionary contract, or
any subsidiary entity that is anticipated to be involved in the
execution of the contract; and
(3)
the identity of any lobbyist, attorney or
consultant employed for purposes relating to the discretionary contract being sought
by any individual or entity who would be a party to the discretionary
contract.
An individual or entity
seeking a discretionary contract is required to supplement this filing on a form
provided by the city in the event there is any change in the information
required of the individual or entity under this
subsection. The individual or entity seeking a discretionary contract must supplement this filing before the
discretionary contract is the subject of council action, and no later than five
(5) business days after any change about which information is required to be
filed.
(b)
Political Contributions.
Any individual or entity seeking a discretionary contract from the city
must disclose in connection with a proposal for a discretionary contract, on a
form provided by the city, all political contributions totaling one hundred
dollars ($100) or more within the past twenty-four (24) months made directly or
indirectly to any current or former member of City Council, any candidate for
City Council, or to any political action committee that contributes to City
Council elections, by any individual or entity whose identity must be
disclosed under Subsection (a).
Indirect contributions by an individual include, but are not limited to, contributions made by an individual’s spouse, whether statutory or common-law. Indirect contributions by an entity include, but are not limited to, contributions made by the officers, owners of the entity seeking the contract, and attorneys, consultants or registered lobbyists of the entity hired or retained to assist an individual or entity seeking a contract.
Indirect contributions do not include contributions by owners of a business entity who hold less than 5% of the fair market value or voting stock of the entity.
Political contributions made in the preceding 24 months to any individual who is a former councilmember must be disclosed, unless:
(1) the contributions were made in connection with a campaign or officeholder account not associated with a city office; and
(2) the former officeholder has terminated the campaign treasurer appointment and filed the final campaign finance report with the Office of the City Clerk at the time the contract was in the solicitation process or under consideration for approval by the city; and
(3) the former member is not or was not serving in a city office at the time the contract was in the solicitation process or under consideration for approval by the city.
(c)
Briefing Papers and Open Records.
Briefing papers prepared for the city council concerning any proposed
discretionary contract to be considered for ordinance action shall reveal the
information disclosed in compliance with Subsections (a) and (b), and that
information shall constitute an open record available to the public.
Section 2-60
Disclosure of Association with City Official or Employee
(a)
Disclosures During Appearances.
A person appearing before a city board or other city body shall disclose to it
any known facts which, reasonably understood, raise a question as to whether any
member of the board or body would violate Section 2-43 of Division 2 (Conflicts
of Interest) by participating in
official action relating to a matter pending before the board or body.
(b)
Disclosures in Proposals.
Any individual or business entity seeking a discretionary
contract
with the city shall disclose, on a form provided by the city, any known facts
which, reasonably understood, raise a question as to whether any city official
would violate 2-43 of Division 2 (Conflicts
of Interest) by participating in official action relating to the
discretionary contract.
(c) Disclosure of Benefit. If a person who requests official action on a matter knows that the requested action will confer an economic benefit on any city official or employee that is distinguishable from the effect that the action will have on members of the public in general or a substantial segment thereof, he or she shall disclose that fact in a signed writing to the city official, employee, or body that has been requested to act in the matter, unless the interest of the city official or employee in the matter is apparent. The disclosure shall also be made in a signed writing filed with the City Clerk.
(d)
Definition. For
purposes of this rule, facts are “reasonably understood” to “raise a
question” about the appropriateness of official action if a disinterested
person would conclude that the facts, if true, require recusal or require
careful consideration of whether or not recusal is required.
Section 2-61
prohibited
contacts
during contract solicitation period
As used in Division 5 (Lobbyists), the
following words and phrases have the meaning ascribed to them in this Section,
unless the context requires otherwise:
(a)
City official means the
Mayor, members of the City Council, Municipal Court Judges and Magistrates, the
City Manager, Deputy City Manager, City
Clerk, Assistant City Clerk, Assistant City Managers, Assistants to the City
Manager, all department heads, assistant department heads, Internal Auditor and
assistant internal auditors; Market Square Superintendent; Assistant to City
Council; Assistants to City Council, including contract personnel, Assistant to
Mayor; Assistants to the Mayor, including contract personnel,
Secretary to City Manager; Executive Secretaries; Community Action Manager;
Public Utilities Supervisor, members of bid
committees, and members of the following boards and commissions: Board of
Adjustment; Board of Appeals; City Public Service;
Fire Fighter’s and Police Officer’s
Civil Service Commission; Electrical Examining and Supervising Board; Ethics
Review Board established pursuant to this Ethics Code; Greater Kelly Development
Authority and any authority later created under Chapter 378, Defense Base
Development Authorities, of Subtitle A, Title 12 of the Texas Local Government
Code; Historic and Design Review Commission; Housing Authority of San Antonio;
Municipal Civil Service Commission; Planning Commission; Plumbing Appeals and
Advisory Board; Public Library Board of Trustees; San Antonio Water System;
Urban Renewal Agency (SADA);
Zoning Commission; and any other board
or commission that is more than advisory in nature.
(b)
Client means any person
on whose behalf lobbying is conducted. If a person engages in lobbying on that
person's own behalf, whether directly or through the acts of others, the person
is both a client and a lobbyist (as defined in Subsection (g)). In the case of a
coalition or association that employs or retains other persons to conduct
lobbying activities, the client is the coalition or association and not its
individual members.
(c)
Compensation means money
or any other thing of value that is received, or is to be received, in return
for or in connection with lobbying services rendered,
or to be rendered, including reimbursement of expenses incurred in lobbying.
“Compensation” for professional services that do not primarily
require contact or advocacy with public officials does not constitute
“compensation in connection with lobbying services” for purposes of this
section, if contact with public officials is incidental to the primary purpose
of the employment.
Compensation
does not include a payment made to any individual regularly employed by a person
if
(1)
the payment ordinarily would be made regardless of whether the individual
engaged in lobbying activities; and
(2)
lobbying activities are not part of the individual’s regular responsibilities
to the person making the payment.
Compensation
does not include the financial gain that a person may realize as a result of the
determination of a municipal question, unless that gain is in the form of a
contingent fee.
If
a lobbyist engages in both lobbying activities and other activities on behalf of
a person, compensation for lobbying includes all amounts received from that
person, if, for the purpose of evading the obligations imposed under Division 5
(Lobbyists), the lobbyist has structured the receipt of compensation in a way
that unreasonably minimizes the value of the lobbying activities.
Compensation
which has not yet been received is considered to be received on the date that it
is earned, if that date is ascertainable; otherwise, it is received on the date on which the contract or agreement for
compensation is made,
or on the date lobbying commences, whichever is first. Compensation does not
include any amounts previously reported under Section 2-66 of Division 5 (Quarterly
Activity Reports).
(d)
Expenditure means a
payment, distribution, loan, advance, reimbursement, deposit, or gift of money
or anything of value, including a contract, promise, or agreement to make an
expenditure, regardless of whether such contract, promise, or agreement is
legally enforceable.
Expenditure
does not include an amount paid to any individual regularly employed by a person
if
(1)
the amounts paid to the individual are ordinarily paid regardless of whether the
individual engages in lobbying activities; and
(2)
lobbying activities are not part of the individual’s regular responsibilities
to the person making the payment.
The
date on which an expenditure is incurred is determined according to generally
accepted accounting principles. The term “expenditure” does not include the
cost of photocopying city documents, if those costs are the only expenditures
made by the person in question on lobbying activities.
The term “expenditure” also does not include the cost of photocopying
documents, or creating other informational material by individuals who
communicate with public officials to express personal opinions on behalf of
themselves, their family or members of their household.
(e)
Gift has the same meaning as in Division 1,
Section 2-42 (Definitions).
(f)
Immediate
family means a spouse and dependent children.
(g)
Lobbyist means a
person who engages in lobbying, whether directly or through the acts of another.
If an agent or employee engages in lobbying for a principal or employer, both
the agent and the principal, or the employee and the
employer, are lobbyists.
(h)
Lobby or Lobbying, except as provided below, means any oral or written
communication (including an electronic communication) to a city official, made
directly or indirectly by any person in an effort to influence or persuade an
official to favor or oppose, recommend or not recommend, vote for or against, or
take or refrain from taking action on any municipal question. The term lobby or
lobbying does not include a communication:
(1)
merely requesting information or
inquiring about the facts or status of any municipal question, matter, or
procedure, and not attempting to influence a city official;
(2)
made by a public official or employee
(including, but not limited to, an official or employee of the City of San
Antonio) acting in his or her official capacity;
(3)
made by a representative of a media
organization if the purpose of the communication is gathering and disseminating
news and information to the public;
(4)
made in a speech, article, publication,
or other material that is distributed and made available to the public, or
through radio, television, cable television, or any other medium of mass
communication;
(5)
made at a meeting open to the public
under the Open Meetings Act;
(6)
made in the form of a written comment
filed in the course of a public proceeding or any other communication that is
made on the record in a public proceeding;
(7)
made in writing as a petition for
official action and required to be a public record pursuant to established city
procedures;
(8)
made in writing to provide information
in response to an oral or written request by a city official for specific
information;
(9)
the content of which is compelled by
law;
(10)
made in response to a public notice
soliciting communications from the public and directed to the official
specifically designated in the notice to receive such communications;
(11)
made on behalf of an individual with
regard to that individual's employment or benefits;
(12)
made by a fact witness or expert
witness at an official proceeding; or
(13)
made by a person solely on behalf of
that individual, his or her spouse, or his or her minor children.
(i)
Lobbying
firm means:
(1)
a self-employed lobbyist, or
(2)
a person that has one or more employees
who are lobbyists on behalf of a client or clients other than that person.
(j)
Municipal
question means a public policy issue of a discretionary nature pending or
impending before city council or any board or commission, including,
but not limited to, proposed action,
or proposals for action, in the form of ordinances, resolutions, motions,
recommendations, reports, regulations, policies, nominations, appointments,
sanctions, and bids, including the adoption of specifications, awards, grants,
or contracts.
The
term “municipal question” does not include the day-to-day application,
administration, or execution of existing city programs, policies, ordinances,
resolutions, or practices, including matters that may be approved
administratively without consideration by a board, a commission, or the City
Council. The term “municipal
question” does include all discretionary matters before the Board of
Adjustment, the Planning Commission and all advisory committees and
subcommittees thereof.
(k)
Person means an
individual, corporation, association, firm, partnership, committee, club,
organization, or a group of persons voluntarily acting in concert.
(l)
Registrant
means a person required to register under Section 2-63 of Division 5 (Persons
Required to Register as Lobbyists).
(m)
Knowingly has the
same meaning as in Division 1, Section 2-42 (Definitions).
Section 2-63
Persons Required to Register as Lobbyists
Except as provided by Section 2-64 of
Division 5 (Exceptions), a person or entity who engages in lobbying must
register with the City Clerk if:
(a)
with
respect to any client, the person or entity engages in lobbying activities for
compensation; or
(b)
the
person or entity expends monies for lobbying activities.
The terms “compensation” and
“expenditure” are defined in Section 2-62 of Division 5 (Definitions).
The
following persons and entities are not required to register under Section 2-63
and 2-65
of Division 5 (Persons Required to Register as Lobbyists and Registration) or file an activity report under Section 2-66 of
Division 5 (Quarterly Activity Reports):
(a)
Media Outlets. A person
who owns, publishes or is employed by:
(1)
a newspaper;
(2)
any other regularly published
periodical;
(3)
a radio station;
(4)
a television station;
(5)
a wire service; or
(6)
any other bona fide news medium that in
the ordinary course of business disseminates news, opinions, or paid
advertisements that directly or indirectly oppose or promote municipal questions
or seek to influence official action relating thereto, if the person does not
engage in other activities that require registration under Division 5
(Lobbyists).
This
Subsection does not exempt the news media or a
person whose relation to the news media is only incidental to a lobbying effort
or if a position taken or advocated by a media outlet directly impacts, affects,
or seeks to influence a municipal question in which the media outlet has a
direct or indirect economic interest.
(b)
Mobilizing Entity Constituents and
Not-for-Profit Organizations. A person whose
only lobbying activity is to encourage or solicit the members, employees, or
owners (including shareholders) of an entity by whom the person is compensated
to communicate directly with one or more city officials to influence municipal
questions. This exception is intended to apply to neighborhood
associations and not-for-profit
organizations.
(c)
Governmental Entities.
Governmental entities and their officials and employees, provided the
communications relate solely to subjects of governmental interest concerning the
respective governmental bodies and the city.
(d)
Unknown Municipal Questions.
A person who neither knows nor has reason
to know that a municipal question is pending at the time of contact with a city
official. This Subsection does not apply if the existence of a municipal
question is discovered during on-going contacts with a city official and the
person then engages in additional lobbying of the same official or other city
officials with respect to that municipal question.
(e)
Dispute Resolution.
An attorney or other person whose contact with a city official is made solely as
part of resolving a dispute with the city, provided that the contact is solely
with city officials who do not vote on or have final authority over any
municipal question involved and so long as such an attorney complies with Rule
4.02 of the Texas Disciplinary Rules of Professional Conduct, as amended.
(f)
Compensation
of Registrant. A
client who would only be required to register under Section 2-63 because of any
expenditure to compensate a registrant, other than an employee, to lobby on a
municipal question of interest to the client, provided that the compensated
registrant files a registration statement or activity report for the period in
question.
(g)
Agent or employee. An agent or employee of a lobbying firm
or other registrant that files a registration statement or activity report for
the period in question fully disclosing all relevant information known to the
agent or employee.
(h)
Individual.
An individual who engages in lobbying but who neither receives
compensation nor expends monies for lobbying with respect to any client.
The term “expends” does not include the cost of photocopying
documents, or creating other informational material by individuals who
communicate with public officials to express personal opinions on behalf of
themselves, their family or members of their household.
(i)
Attorneys.
A licensed attorney who is performing an act that may be performed
only by a licensed attorney.
(a)
Separate Registrations.
A person or entity required to register as a lobbyist under Section 2-63 of
Division 5 (Persons Required to Register as Lobbyists) must file a separate
registration form for each client. A registrant who makes more than one lobbying
contact for the same client shall file a single registration form covering all
lobbying contacts for that client. Each registration form must be signed under
oath. If the registrant is not an individual, an authorized officer or agent of
the registrant shall sign the form.
(b)
Initial Registration.
An initial registration form relating to a client must be filed by a person
required to register under Section 2-63 of Division 5 (Persons Required to
Register as Lobbyists) within 90 days
after
the start of lobbying activity for that client. However, in no event shall a
registrant knowingly fail to register, or knowingly fail to disclose such
registration to relevant city officials, prior to official city action relating
to the subject matter of the lobbying activity.
(c) Subsequent Annual Registration.
Except as provided in Subsection (f) (Termination of Registration) subsequent
registration forms must be filed annually each January for each client for whom
a registrant previously filed, or was required to file, an initial registration
form.
(d) Consolidated
Registration for Firms/Organizations. An
individual, firm or organization that registers as a lobbyist and that employs
agents or employees who engage in lobbying activity on behalf of the
registrant’s clients may include the agents or employees within the
registrant’s initial and annual registration, by identifying the agents or
employees and disclosing lobbying activity as required under Subsection (e) by
each agent or employee,
(e)
Required Disclosures.
Initial or subsequent registration shall be on a form prescribed by the City
Clerk and shall include, to the extent applicable:
(1)
the full name, telephone
number, permanent address, and nature of the business of:
(A)
the registrant;
(B)
the client;
(C)
any person, other than the client, on whose behalf the registrant has
been engaged by the client to lobby;
(D)
any person, other than the client, who is known by the registrant to
contribute financially to the compensation of the registrant, or
which, in whole or in major part, plans, supervises, or controls the registrant’s
lobbying activities on behalf of the client;
(E)
any lobbying firm for which the registrant is an agent or employee with
respect to the client; and
(F)
each employee or agent of the registrant who has acted or whom the
registrant expects to act as a lobbyist on behalf of the client;
(2)
a statement of all municipal questions
on which the registrant or its agents or
employees have lobbied for the client in the year preceding the
filing of the registration or foreseeably will lobby;
(3)
a list of any positions held by the
registrant or its agents or employees
as an official or employee of the City of San Antonio, as those terms
are defined in Section 2-42 of Division 1 (Definitions) during the past two (2) years.
(4)
if the registrant or
an agent or employee
is a former city
official or employee, a statement that the registrant’s lobbying activities
have not violated and will not foreseeably violate Section 2-56(a) or (b)
or
Section 2-57(b) of Division 3 (Former
City Officials and Employees) of this ethics code.
(f) Termination
of Registration. A registrant shall file a notice of
termination of registration with the City Clerk if the registrant is no longer
required to register by Section 2-63 of Division 5 (Persons Required to Register
as Lobbyists).
A filing under
this Subsection does not relieve the registrant of reporting requirements
imposed by Section 2-66 of Division 5 (Quarterly
Activity Reports) for the reporting
period in question.
(g)
Fee. At the time of
initial or subsequent annual registration with respect to a client, a registrant
shall pay to the city, and the City Clerk shall collect, a fee of $500 for the
registrant and $500 for each agent or employee of the registrant that engages in
lobbying activity on behalf of the registrant’s clients. All lobbyist registration fees shall be deposited
into a separate account within the general fund, which account shall be used to
offset the costs of administering the city’s lobbying ordinance and the costs
of handling disclosure filings.
(h)
Ethics
Code Briefing. During
the registration process, the Ethics Compliance Officer shall offer a briefing
to each new registrant on Division 5 Lobbyists of the Ethics Code and each shall
be provided with information regarding
the lobbyist provisions of the Ethics Code.
Section 2-66
quarterly
Activity reports
A
firm, entity, or individual that employs agents or employees who lobby on behalf
of that organization’s or employer’s clients may file quarterly reports
regarding lobbying activities on behalf of all the organization’s or
employer’s clients, so long as all activities by agents and employees that
must be disclosed pursuant to Division 5 are reported on the consolidated
quarterly report. When a registrant
files a quarterly report disclosing the lobbying activities of its agents or
employees, the registrant’s agents and employees are not required to file separate quarterly reports.
The
report for the preceding calendar quarter shall be filed between the first and
fifteenth day of April, July, October, or January, or on the date registration
on behalf of the client is required, whichever comes later. If the registrant is
not an individual, an authorized officer or agent of the registrant shall sign
the form. The report shall be on the form prescribed by the City Clerk and shall
include, with respect to the previous calendar quarter, to the extent
applicable:
(1)
the name of the registrant, the name of
the client, and any changes or updates in the information provided in the most
recent registration statement filed pursuant to Section 2-65 of Division 5
(Registration);
(2)
a list of the specific issues upon
which the registrant or its agents or
employees
engaged in lobbying activities, including, to the maximum
extent
practicable,
a list of specific legislative proposals and other proposed, pending, or
completed official actions;
(3)
a list of the city officials contacted
by the registrant or its agents or
employees
on behalf of the client with regard to a municipal question;
(4)
a list of the employees or agents of
the registrant who acted as lobbyists on behalf of the client;
(5)
in the case of a registrant engaged in
lobbying activities on its own behalf, a good faith estimate of the total
expenditures as defined in Section 2-62 of Division 5 (Definitions) that the
registrant and its agents or employees incurred in connection with lobbying
activities;
(6) each
gift, benefit, or expenditure greater than fifty dollars ($50);
(7) made
to, conferred upon, or incurred on behalf of a city official or his or her
immediate family by the registrant, or by anyone acting on behalf of the
registrant, shall be itemized by date, city official, actual cost, and
circumstances of the transaction;
(8) each
exchange of money, goods, services, or anything of value by the registrant, or
by anyone acting on behalf of the registrant, with any business entity in which
the registrant knows or should know that a city official has an economic
interest, or for which the city official serves as a director or
officer,
or in any other policy making position, if:
(A)
the total of such exchanges is one thousand dollars ($1000) or more in a
calendar quarter; and
(B)
the city official:
(i) has been lobbied by the registrant
or
its agents or employees during the calendar quarter; or
(ii) serves on a board or other city body
that has appellate jurisdiction over the subject matter of the lobbying.
Each
exchange shall be itemized by date, business entity and address, city official,
amount, and nature of transaction. For purposes of this Subsection, the term
“exchange” does not include a routine purchase from a commercial business
establishment, if the city official in question is neither aware, nor likely to
become aware, of the transaction; and
(9) the
name and position of each city official or member of a city
official’s immediate family who is employed by the registrant.
(b)
Preservation of Records. Each
registrant shall obtain and preserve all accounts, bills, receipts, books,
papers and documents necessary to substantiate the activity reports required to
be made pursuant to this Section for five (5) years from the date of filing of
the report containing such items.
(c)
No Activity or Changes.
No quarterly activity report is required if there is no activity during
the preceding quarter calendar year and there are no other changes to items
required to be reported.
(d)
Estimates of income or expenses.
For purposes of Subsections (a)(5), (a)(6), and (a)(7),
required estimates of compensation or expenses shall be made to the nearest one
hundred dollars ($100), for amounts totaling less than five thousand dollars
($5,000), and to the nearest one thousand dollars ($1000), for amounts totaling
more than five thousand dollars ($5000).
(e)
Contingent fees. A
person shall disclose employment to lobby on a contingent fee basis as well as
any arrangement to engage in lobbying activities on a contingent fee
arrangement.
(a)
False Statements.
A person who lobbies or engages another person to lobby, or any other person
acting on behalf of such persons, shall not
intentionally or
knowingly make any false or misleading
statement of fact to any city official, or, knowing a document to contain a
false statement, cause a copy of such document to be received by a city official
without notifying such official in writing of the truth.
(b)
Failure to Correct Erroneous Statement.
A registrant who learns that a statement contained in a registration form or
activity report filed by the registrant during the past three (3) years is false
shall not fail to correct that statement by written notification to the City
Clerk within thirty days of learning of the falsehood.
(c)
Personal Obligation of City Officials.
A person who lobbies or engages another person to lobby,
or any other person acting on behalf of such person,
shall not do any act, or refrain from doing any
act, with the express purpose and intent of placing any city official under
personal obligation to such lobbyist or person.
(d)
Improper Influence.
A registrant shall not cause or influence the introduction of any ordinance,
resolution, appeal, application, petition, nomination, or amendment thereto for
the purpose of thereafter being employed as a lobbyist to secure its granting,
denial, confirmation, rejection, passage, or defeat.
(e)
Use
of False Identification.
A person who lobbies or engages another person to lobby,
or any other person acting on behalf of such person, shall
not cause any communication to be sent to a city official in the name of any
fictitious person or in the name of any real person, except with the consent of
such real person.
(f)
Prohibited Representations.
A person who lobbies or engages another person to lobby, or any other person
acting on behalf of such person, shall not represent, either directly or
indirectly, orally or in writing, that that person can control or obtain the
vote or action of any city official.
(g)
Legislator’s
Exclusion. At
any time within sixty (60) days of a date when the Texas Legislature is to be in
session, or at any time the Texas Legislature is in session, or when the Texas
Legislature sits as a Constitutional Convention, members of the Texas Legislature
and their agents and employees are prohibited from lobbying as that term is
defined in Section 2-62, subsection (h), of Division 5, (Lobbyists) of this
Code.
At any other
time, the City of San Antonio strongly discourages members of the Texas
Legislature and their spouses, agents and employees from lobbying before the
City of San Antonio.
If
a legislator, his or her spouse, agent, or employee does engage in lobbying
activity during a time outside a regular
session and outside the sixty (60) days before and after a regular session, and
the governor calls a special session for which the legislator had no notice at
the time of the lobbying activity, this section is not violated.
(h)
Lobbying by Councilmembers. At any time within
sixty (60) days of a date when the Texas Legislature is to be in session, or at
any time the Texas Legislature is in session, or when the Texas Legislature sits
as a Constitutional Convention, Members of the City Council of the City of San
Antonio are prohibited from lobbying members of the Texas Legislature on behalf
of the Councilmember’s private client(s) or employer. Councilmembers are not
prohibited from meeting with members of the Texas Legislature on behalf of the
City of San Antonio concerning legislation, administrative action, or any other
action in their official City capacity. For the purposes of this subsection,
lobbying means any oral or written communication (including an electronic
communication) to a member of the legislative branch, made directly or
indirectly, by a City Councilmember in an effort to influence or persuade a
member of the legislative branch to favor or oppose, recommend or not recommend,
vote for or against, or take or refrain from taking action on any legislation or
administrative action on behalf of the Councilmember’s private client(s) or
employer.
At any other time, the City of San Antonio strongly discourages members
of the City Council and their spouses, agents and employees from lobbying before
the Texas Legislature. This does
not apply to lobbying on behalf of the City of San Antonio concerning
legislation, administrative action, or any other action in their official City
capacity.
If
a Councilmember, his or her spouse, agent, or employee does engage in lobbying activity during a time
outside a regular legislative session and outside the sixty (60) days before and
after a regular session, and the Governor calls a special session of which the
Councilmember had no notice at the time of the lobbying activity, this section
is not violated.
(i)
Limitations
on Gifts. A person who lobbies
or engages another person to lobby, or any other person acting on behalf of such
persons, shall not give gifts to a City official or a City employee or his or
her immediate family, save and except for
(1) items received that are of nominal value; or
(2)
meals in an individual expense of $50 or less at any occurrence, and no more
than a cumulative value of $500 in a single calendar year, from a single source,
as permitted in section 2-45, or
(3)
other gifts permitted under section 2-45.
(j)
Prohibited
Lobbying. A person who lobbies or engages another person to lobby, or
any other person acting on behalf of such person, is prohibited from lobbying
activities with City officials and employees regarding such contract after a Request for Proposal (RFP),
a Request for Qualifications (RFQ) or other solicitation has been released.
This no-contact provision shall conclude when the contract is posted as City
Council agenda item. If contact is required with City officials and
employees
such contact will be done in accordance with procedures incorporated into the
solicitation document. Violation of this provision
by respondents or their agent(s) may lead to disqualification of their offer from consideration.
Section 2-68
Identification of Clients
(a)
Appearances. Each person
who lobbies or engages another person to lobby appearing before the City Council
or an official body identified in the definition of “city official” in
Section 2-62 of
Division 5 (Definitions) shall orally identify himself or herself and the
client(s) he or she represents upon beginning an address. Each person who
lobbies or engages another person to lobby shall also disclose on appropriate
sign-in sheets his or her identity, the identity of the client he or she
represents, and whether he or she is registered as a lobbyist as required by
Section 2-63
of
Division 5 (Persons Required to Register as Lobbyists).
(b)
Oral Lobbying Contacts.
Any person who makes an oral lobbying contact with an official shall, identify
the client or clients on whose behalf the lobbying contact is made and
identify himself or herself as a registered lobbyist.
(c)
Written Lobbying Contacts.
Any registrant who makes a written lobbying contact (including an electronic
communication) with a city official shall identify the client(s) on whose behalf
the lobbying contact is made and identify himself or herself as a registered
lobbyist.
Section 2-69 Timeliness
of Filing Registrations and Reports
A
registration or report filed by first-class United States mail or by common or
contract carrier is timely if:
(a)
it
is properly addressed with postage and handling charges prepaid; and
(b)
it
bears a post office cancellation mark or a receipt mark from a common or
contract carrier indicating a time within the applicable filing period or before
the applicable filing deadline, or if the person required to file furnishes
satisfactory proof that it was deposited in the mail or with a common or
contract carrier within that period or before that deadline.
The
City Clerk shall:
(a)
provide
guidance and assistance on the registration and reporting requirements for
lobbyists and develop common standards, rules, and procedures for compliance
with Division 5 (Lobbyists);
(b)
review
for completeness and timeliness registrations and reports;
(c)
maintain
filing, coding, and cross‑indexing systems to carry out the purposes of
Division 5 (Lobbyists), including:
(1)
a publicly available list of all registered
lobbyists, lobbying firms, and their clients; and
(2)
computerized systems designed to
minimize the burden of filing and maximize public access to materials filed
under Division 5 (Lobbyists);
(d)
make
available for public inspection and copying at reasonable times the
registrations and reports filed under Division 5 (Lobbyists); and
(e)
retain
registrations and reports in accordance with the Local Government Records Act.
Section 2-71
Constitutional Rights
Division 6
(Members of the Public and Others) applies
to current and former city officials and employees, persons doing business with
the city, and lobbyists, as well as to members of the public and any other
person (including business entities and nonprofit entities).
No
person shall intentionally or knowingly induce, attempt to induce, conspire
with, aid or assist, or attempt to aid or assist another person to engage in
conduct violative of the obligations imposed by Divisions 2
(Present City Officials and Employees), 3 (Former City Officials and
Employees), 4 (Persons Doing Business with the City), and 5 (Lobbyists) of this
ethics code.
Section 2-73 Financial
Disclosure Report
(a)
Persons Required to File Disclosure
Form.
(1)
City
Officials and Designated City
Employees. No later than thirty (30) days after accepting appointment or assuming the
duties of office, and annually thereafter, the city officials defined in Section
2-42 of Division 1 (Definitions), Police Department
Captains, Assistant Chiefs, and Deputy Chiefs, all appointed Deputy Fire Chiefs
and appointed Assistant Fire Chiefs, and any Assistant Fire Chief who either
works in the Fire Administration Building or any other division and is involved
in having input to any contract, vehicle specification, or who is otherwise
involved with the purchasing of any product, service, or land for the Fire
Department, any fire Inspector, Plan Reviewer or Uniformed Administrator of the
Fire Prevention Division, any uniformed employee involved in maintaining
Departmental Personnel Records located at the Fire Administration Building, any
uniformed Personnel utilized in evaluating or purchasing equipment, vehicles or
any other purchases who also have contact with contractor(s) who provide such
equipment or vehicles, and any Uniformed Personnel utilized in providing input
to any contract or composing specifications of equipment and vehicles, who also
have contact with contractor(s) who provide such services, equipment or vehicles
are required to file with the City Clerk a complete sworn financial disclosure
report.
(2)
Exception.
Candidates
for City Council and City officials required to file financial disclosure statements
pursuant to Local Government Code Chapter 145 shall file financial disclosure
statements in compliance with the Local Government Code in place of filing
statements required by this code of ethics.
Such officials shall also complete an addendum to the statement
disclosing information required by this code of ethics, but not required under
the Local Government Code. The
addendum shall be prepared by the Office of the City Clerk.
Deadlines for filing the financial disclosure documents shall be governed
by Chapter 145 of the Local Government Code.
(b)
Open Records.
Financial disclosure reports are open records subject to the Texas Open
Records Act,
and shall be maintained in accordance with the Local Government Records Act.
(c)
Annual Filing Date.
Annual financial disclosure reports filed by City officials who are City
employees and by City employees who are required to report must be received by
the City Clerk by 4:30 p.m. on the 31st day of January.
Annual financial disclosure reports filed by City officials who are not
City employees and who are required to report must be received by the City Clerk by
4:30 p.m. on the 31st day of March. When the deadline falls on a Saturday or
Sunday, or on an official city holiday as established by the City Council, the
deadline for receipt by the City Clerk is extended to 4:30 p.m. of the next day
which is not a Saturday or Sunday or official city holiday. The City Clerk shall
grant an extension of time in which to file a report upon written request
submitted in advance of the deadline. The extension shall not exceed fifteen
(15) days.
Unforeseen Circumstances. In
the event of an unforeseen circumstance, including, but not limited to, military
service or acute illness or leave without pay
under the Family Medical Leave Act, the deadline for receipt by the City
Clerk is extended until such time as the city official or employee resumes his
city duties.
(d)
Reporting Periods.
Each initial or annual financial disclosure report filed by an individual
designated in Section 2-73(a)(1) of
Division 7 (Financial Disclosure Report), and each report filed by a candidate
for City Council, shall disclose information relating to the prior calendar
year, as well as any material changes in that information which occurred between
the end of the prior calendar year and the date of filing.
(e)
City Clerk. The City
Clerk shall:
(1)
prior to January 15 of each year,
notify city officials who are city
employees and employees specified in Subsection (a)(1) of their obligation to
file financial disclosure reports and provide forms to be completed; and prior
to February 15 of each year, notify city officials who are not city employees of
their obligation to file financial disclosure reports and provide the forms to
be completed.
(2)
provide forms to all new City Council
appointees and those filing for elective office, and advise them of reporting
requirements and deadlines;
(3)
provide guidance and assistance on the
reporting requirements for persons required to file financial disclosure reports
and develop common standards, rules, and procedures for compliance with Division
7 (Financial Disclosure);
(4)
review reports for completeness and
timeliness;
(5)
maintain filing, coding, and
cross‑indexing systems to carry out the purpose of Division 7 (Financial Disclosure), including:
(A)
a publicly available list of all persons required to file; and
(B)
computerized systems designed to minimize the burden of filing and
maximize public access to materials filed under Division 7 (Financial
Disclosure);
(6)
make available for public inspection and copying at
reasonable times the reports filed under Division 7 (Financial Disclosure);
(7)
upon determining that such appointee
who is required to file a financial disclosure report has failed to do so or has
filed incomplete or unresponsive information, notify the individual by certified
mail that failure to file or correct the filing within fifteen (15) days after
the original deadline constitutes an automatic resignation.
At the same time, the City Clerk shall publicly announce to the City Council the
names of those who have not filed and to whom this notification is being sent.
If such an appointee fails to file a completed report within fifteen (15) days
from the original deadline, the position shall be considered vacant, and a new
appointment shall be made by the City Council; and
(8)
upon determining that the Mayor, a
member of City Council, a candidate for City Council, the City Manager, or a
Municipal Court Judge or Magistrate has failed to timely file a financial
disclosure report, or has filed incomplete or unresponsive information, notify
the individual by certified mail that failure to file or correct the filing
within fifteen (15) days after the original deadline will result in the matter
being forwarded to the Ethics Review Board. If the person in question fails to
file a completed report within fifteen days of the original deadline, a report
of non-compliance shall be forwarded to the Ethics Review Board for appropriate
action.
(9)
upon determining that a person other
than as provided in subsections (7) or (8) above, has failed to timely file a
financial disclosure report, or has filed incomplete or unresponsive
information, notify the individual by certified mail that failure to file or
correct the filing within fifteen (15) days after the original deadline will
result in the matter being forwarded to the City Manager. If the
person in question fails to file a completed report within fifteen days of the
original deadline, a report of non-compliance shall be forwarded to the City
Manager for appropriate action.
The
failure of the City Clerk to provide any notification required by this
Section does not bar appropriate remedial action, but may be considered on the
issue of culpability.
(f)
Exception. A city
official who is a member of a board or commission created pursuant to federal or
state law
may only be removed for failing to file a financial disclosure form if allowed
under federal or state law.
Section 2-74
Contents of Financial Disclosure Reports
Each
initial or annual financial disclosure report shall disclose, on
a form provided by the city, the following information:
(a)
the
reporting party’s name;
(b)
the
name of any person related as parent, child, (except a child who is a
minor), or spouse to the reporting party;
(c)
the
name of any member of the reporting party’s household not disclosed under
Subsection (b) of this rule;
(d)
the
name of any employer of any person disclosed under Subsections (a) or (b) of
this rule;
(e)
the
name of any business entity (including self employment in the form of a sole
proprietorship under a personal or assumed name) in which the reporting party or
his or her spouse holds an economic interest;
(f)
the
name of any business which the reporting party knows is a partner, or
a parent or subsidiary business entity, of
a business entity owned, operated, or managed by the reporting party or his or
her spouse;
(g)
the
name of any person or business entity from whom the reporting party or his or
her spouse, directly or indirectly:
(1)
has received and not rejected an
unsolicited offer of subsequent employment; or
(2)
has accepted an offer of subsequent
employment which is binding or expected by the parties to be carried out;
(h)
the
name of each nonprofit entity or business entity in which the reporting party
serves as an officer or director, or in any other policy making position;
(i)
the
name of each business entity which has sought city business, has a current city
contract or anticipates seeking city business in which any individual listed in
Subsection (a) or (b) is known to directly or indirectly own:
(1)
ten (10) percent or more of the voting
stock or shares of the business entity, or
(2)
ten (10) percent or more of the fair
market value of the business entity;
(j)
the
name of any business entity of which any individual or entity disclosed under
Subsection 2(a) or (2)(i) is known to be:
(1)
a subcontractor on a city contract;
(2)
a partner; or
(3)
a parent or subsidiary business entity.
(k)
the
name of each source of income, other than dividends or interest, amounting to
more than five thousand dollars ($5000) received during the reporting period by
the reporting party or his or her spouse, unless that source has been disclosed
under Subsections (a) through (j) of this rule;
(l)
the
identification by street address, or legal or lot-and-block description, of all
real property located in the State of Texas in which the reporting party or his
or her spouse has a leasehold interest, a contractual right to purchase, or an
interest as: fee simple owner;
beneficial owner; partnership owner; joint owner with an individual or
corporation; or owner of more than twenty-five (25) percent of a corporation
that has title to real property. There is no requirement to list any property:
(1)
used as a personal residence of a peace
officer;
(2)
over which the reporting party has no
decision power concerning acquisitions or sale; or
(3)
held through a real estate investment
trust, mutual fund, or similar entity, unless the reporting party or his or her
spouse participates in the management thereof;
(m)
the
name of persons or entities to whom the reporting party or spouse owes an
unsecured debt of more than five thousand dollars ($5,000.00), other than debts
for:
(1)
money borrowed from a family member
from his or her own resources; and
(2)
revolving charge accounts.
(n)
the
name of each person, business entity, or other organization from whom the
reporting party, or his or her spouse, received a gift with an estimated fair
market value in excess of one hundred dollars ($100) during the reporting period
and the estimated fair market value of each gift. Excluded from this requirement
are:
(1)
lawful campaign contributions which are
reported as required by state statute or local ordinance;
(2)
gifts received from family members
within the second degree of affinity or consanguinity;
(3)
gifts from an individual based on
personal friendship who during the preceding three calendar years: a) has not
done or sought to do business with the city;
b) has not sought city action on any issue before the City Council or any
city board or commission; c) is not
associated with any business or entity that has done or sought to do business
with the city; and d) is not associated with any business or entity that has
sought city action on any issue before the City Council or a city board or
commission.
(4)
gifts received among and between fellow
city employees and city officials;
(5)
admission to events in which the
reporting party participated in connection with official duties;
(6)
payment of or reimbursement of travel
and accommodations expenses accepted in connection with official duties which
have been reported under Section 2-76
(Travel Reporting Requirements); payment for or reimbursement of
expenses for travel in excess of authorized rates under city policy are gifts
subject to the reporting requirements under this section.
Section 2-75
Short Form Annual Report
A
person who is required to file an annual financial disclosure report may fulfill
his or her filing obligations by submitting a short sworn statement on a form
provided by the city, if there have been few or no changes
in the information disclosed by that person in a complete financial disclosure
report filed within the past five (5) years. The short statement shall indicate
the date of the person’s most recently filed complete financial disclosure
report and shall state that there have been no material changes in that
information or shall list any material changes that have occurred.
Section 2-76 Travel
Reporting Requirements
(a)
Any
city official or employee
who, in connection with his or her official duties, accepts a trip or excursion
involving the gratuitous provision of transportation, accommodations,
entertainment, meals, or refreshments paid for by a person or entity other than
a public agency must file with the City Clerk, before embarking on the travel, a
disclosure statement identifying:
(1)
the name of the sponsor;
(2)
the places to be visited; and
(3)
the purpose and dates of the travel;
(4)
the estimated amount of the expenses
paid.
(b)
Acceptance
of a trip or excursion by Municipal
Court Judges and Magistrates, City Manager, Deputy City Manager, City Clerk,
Assistant City Clerk, Assistant City Managers, Assistants to the City Manager,
and all department heads, assistant department heads, and employees in positions
listed on the executive pay plan (Job Class 1000 through 1999)
must receive prior written approval of the City Manager. Other
personnel must receive written approval by their department director.
Boards and commissions members must receive approval by a vote of their
board or commission.
Section 2-77 Items
Received on Behalf of the City
A city
official or employee who accepts any item by way of gift valued over $100.00 or
loan on behalf of the city must promptly report that fact to the City Manager,
who shall have the item appropriately inventoried as city property.
Section 2-78
Other Persons Required to Report Gifts
In addition to the gift reporting
requirements imposed by the financial disclosure rules stated in Section 2-74(n)
of Division 7 (Contents of Financial Disclosure Reports), other city employees
specified on a list compiled annually by the Human Resources Department (or its
successor department) and submitted to the City Clerk, and contract
administrative assistants to members of City Council are also required to file
an annual report on or before the 31st day of January of each year
showing the source of a gift received during the previous year with a
value of over one hundred dollars ($100.00). Excluded from this requirement are:
(1)
lawful campaign contributions which are
reported as required by state statute;
(2)
gifts received from family members
within the second degree of affinity or consanguinity;
(3) gifts from an individual based on
personal friendship who during the preceding three calendar years: a) has not
done or sought to do business with the city;
b) has not sought city action on any issue before the City Council or any
city board or commission; c) is not
associated with any business or entity that has done or sought to do business
with the city; and d) is not associated with any business or entity that has
sought city action on any issue before the City Council or a city board or
commission.
(4)
gifts received among and between fellow
city employees and city officials;
(5)
admission to events in which the
reporting party participated in connection with official duties;
(6)
payment of or reimbursement of travel
and accommodations expenses accepted in connection with official duties which
have been reported under Section
2-76 (Travel Reporting Requirements); payment for or reimbursement of
expenses for travel in excess of authorized rates under city policy are gifts
subject to the reporting requirements under this section.
Section 2-79
Violation of Reporting Requirements
Failure to timely file a report required by
this ethics code is a violation hereof, as is the knowingly
filing of a report with incorrect, misleading, or incomplete information. If an
individual inadvertently files an incorrect or incomplete report, it is his or
her responsibility to file an amended report as soon as possible, though
no later than fifteen (15) days after discovery of the error or after the error
should have reasonably been discovered. If an individual inadvertently files an
incorrect or incomplete report, it is his or her responsibility to file an
amended report as soon as possible.
To file a late or amended report, the
person shall use the required report form provided by the City Clerk’s Office
and mark in the appropriate box whether the report is late-filed or an amended
report.
Division 8: Ethics Review Board
As used in
Division 8 (Ethics Review Board), the
term “ethics laws” includes this
code of ethics,
codified as Chapter 2, Article III
of the City Code, Section 141 of the City Charter, and
Section 171 of the Texas Local Government Code. The term “ethical violation”
includes violations of any of those enactments. Other terms used in Division 8
(Ethics Review Board) are defined in Section 2-42 of Division 1 (Definitions).
The
term “municipal campaign finance regulations” refers to the code of
municipal campaign finance regulations, codified as Chapter 2, Article VII of
the City Code.
Section 2-81
Structure of the Ethics Review Board
(a)
In accordance with Article XIII of the City Charter,
there is hereby established an independent Ethics Review Board, which shall have
the powers and duties specified in Article XIII of the City Charter, Chapter 2,
Article III of the City Code (Ethics Code), and Chapter 2, Article VII of the
City Code (Municipal Campaign Finance Regulations), and other powers and duties
prescribed by ordinance.
Upon appointment and administration of the oath of
office of a quorum of this Ethics Review Board pursuant to Article XIII of the
City Charter, the former Ethics Review Board established under Ordinance No.
88874 (1998) shall be dissolved.
(b)
Composition. The Ethics
Review Board shall consist of eleven (11) members. The Mayor and each member of
the City Council shall nominate one member of the Board. Each nominee must be
confirmed by a majority of City Council
members. Nomination and confirmation of Board members shall be conducted at
separate open meetings of the City Council.
(c)
Terms of Office.
Initial board appointments shall be made so that terms are staggered, with
six members to serve an initial term of two years and five members to serve an
initial term of three years, determine after appointment by lottery.
Subsequent appointments shall be for a term of two years beginning on the
day after the expiration of the preceding full term.
No member of the board shall serve for more than three full terms.
(d)
Qualifications.
Members of the Board shall have good moral character and shall be residents of
the city. No member of the Board shall be:
(1)
a salaried city official or employee;
(2)
an elected public official;
(3)
a candidate for elected public office;
(4)
an officer of a political party;
(5)
a campaign treasurer, campaign manager,
officer or other policy or decision-maker for the campaign of any candidate for
elected public office;
(6)
a campaign treasurer, campaign manager,
officer or other policy or decision-maker for any political action committee as
defined in the Texas Election Code;
(7)
a member of any city board or
commission other than the Ethics Review Board;
(8)
a member of any board or
commission for which the position is appointed by City Council
(9)
a lobbyist required to register under
Division 5 (Lobbyists) of this ethics code.
Further,
no member of the Ethics Review Board shall have any convictions for a felony or
a crime of moral turpitude, or shall have been found in violation of any
provision of the city’s Code of Ethics. The
San Antonio Police Department will conduct a criminal background check through
the NCIC system for each applicant to the board.
The City Council shall support the inclusion of at
least one attorney and one individual with expertise in finance or accounting
within the membership of the Ethics Review Board.
(e)
Removal. Members of
the Ethics Review Board may be removed from office for cause by a majority of
the City Council only after a public hearing at which the member was provided
with the opportunity to be heard. Grounds for removal include: failure to
satisfy, or to continue to satisfy, the qualifications set forth in Subsection
(d); substantial neglect of duty; gross misconduct in office; inability to
discharge the powers or duties of office; or violation of any provision in this
code of ethics or a conviction of a felony or crime of moral turpitude.
(f)
Vacancies.
The City Council shall fill any vacancy on the Board by a person who will
serve the remainder of the unexpired term.
The nomination to fill a vacancy shall be made by the member of City
Council (or his or her successor) who had nominated the person whose successor
is to be selected to fill the vacancy.
(g)
Recusal. A member of
the Ethics Review Board shall recuse himself or herself from any case in which,
because of familial relationship, employment, investments, or otherwise, his or
her impartiality might reasonably be questioned. A Board member may not
participate in official action on any complaint:
(1)
that the member initiated;
(2)
that involves the member of City
Council who nominated him or her for a seat on the Ethics Review Board; or
(3)
during the pendency of an indictment or
information charging the member with any felony or misdemeanor offense, or after
a finding of guilt of such an offense.
If
the number of Board members who are recused from a case is so large that an
Ethics Review Board cannot be convened to consider the complaint, the Mayor shall nominate a sufficient number
of ad hoc members so that the case can
be heard. Ad hoc members of the Ethics Review Board must be confirmed by a
majority vote of the City Council and serve only for the case in question.
(h)
Chair and Vice-Chair.
Each year, the Board shall meet and elect a chair and a vice-chair from among
its members, who will serve one-year terms and may be re-elected. The chair or a
majority of the Board may call a meeting of the Board. The chair shall preside
at meetings of the Ethics Review Board and perform other administrative duties.
The vice-chair shall assume the duties of the chair in the event of a vacancy in
that position.
(i)
Panels. Each
year, at the time of the election of a chair and vice-chair, the chair will also
make panel assignments. In the
event of vacancies or absences, the chair may make reassignments as needed so
that each panel has no fewer than three members of the Board.
(j)
Reimbursement.
The members of the Ethics Review Board shall not be compensated but
shall be reimbursed for reasonable expenses incurred in the performance of their
official duties.
Section 2-82
Jurisdiction and Powers
(a)
Jurisdiction.
The Ethics Review Board shall have jurisdiction to investigate and make
findings and conclusions concerning:
(1)
an alleged violation of the ethics code
enacted from time to time by ordinance;
(2)
an alleged violation of regulations
governing lobbying enacted from time to time by ordinance;
(3)
an alleged violation of local campaign
finance regulations enacted from time to time by ordinance; and
(4)
an alleged violation of Section 141 of
the City Charter, provided, however, that the Ethics Review Board has no
jurisdiction to find or conclude that a city officer or employee has forfeited
his or her office or position.
The
Board shall not consider any alleged violation that occurred more than two (2)
years prior to the date of the filing of the complaint.
(b)
Termination of City Official’s or
Employee’s Duties. The termination of a city official’s or employee's duties does
not affect the jurisdiction of the Ethics Review Board with respect to alleged
violations occurring prior to the termination of official duties.
(c)
Powers. The Ethics Review
Board has the power:
(1)
to establish, amend, and rescind rules and procedures
governing its own internal organization and operations, consistent with
ordinances pertaining to the Code of Ethics, including lobbying regulations, and
the Code of Municipal Campaign Finance;
(2)
to meet as often as necessary to fulfill its
responsibilities;
(3)
to designate panels with the power to render decisions on complaints or
issue advisory opinions on behalf of the Board;
(4)
to request from the City Manager the assignment of staff necessary to
carry out its duties;
(5)
to review, index, maintain on file, and dispose of sworn complaints;
(6)
to make notifications, extend deadlines, and conduct investigations, both
on referral or complaint;
(7)
to compel the production of sworn testimony, witnesses and evidence;
(8)
to recommend cases for prosecution by appropriate authorities and
agencies;
(9)
to enforce its decisions by assessing civil fines and other sanctions
authorized by ordinance;
(10)
to request the City Attorney to provide an independent counsel to advise
and represent the Board, when appropriate or necessary to avoid a conflict of
interest;
(11)
to provide assistance in the training and education of city officials and
employees with respect to their ethical responsibilities;
(12)
to prepare an annual report and to recommend to the City Council needed
or desirable changes in ordinances under its jurisdiction;
(13)
to
exercise such other powers and duties as may be established by ordinance.
(a)
Filing. Any person
(including a member of the Ethics Review Board or its staff, acting personally
or on behalf of the Board) who believes that there has been a violation of the
ethics laws
or the code of municipal campaign finance regulations
may file a sworn complaint with the City Clerk to
allege such violations.
A complaint filed in good faith is qualifiedly privileged. A person who knowingly makes a false statement in a complaint, or in proceedings before the Ethics Review Board, is subject to criminal prosecution for perjury [see Division 8, Section 2-87(g) (Criminal Prosecution)] or civil liability for the tort of abuse of process.
Assistance. The City Clerk shall provide information to persons who inquire about the process for filing a complaint.
(b)
Form. A complaint filed
under this section must be in writing and under oath and must set forth in
simple, concise, and direct statements:
(1)
the name of the complainant;
(2)
the street or mailing address and the
telephone number of the complainant;
(3)
the name of each person complained
about;
(4)
the position or title of each person
complained about;
(5)
the nature of the alleged violation,
including, if possible, the specific provision of the code of ethics or
municipal campaign finance regulations alleged to have
been violated;
(6)
a statement of the facts constituting
the alleged violation and the dates on which or period of time in which the
alleged violation occurred; and
(7)
all documents or other material available to the
complainant that are relevant to the allegation; a list of all documents or
other material relevant to the allegation and available to the complainant but
that are not in the possession of the complainant, including the location of the
documents, if known; and a list of all documents or other material relevant to
the allegation but unavailable to the complainant, including the location of the
documents, if known.
The
complaint must be accompanied by an affidavit stating that the information
contained in the complaint is either true and correct or that the complainant
has good reason to believe and does believe that the facts alleged constitute a
violation of the Ethics Code or the Code of Municipal Campaign Finance
Regulations. If the complaint is based on information and belief, the complaint
shall state the source and basis of the information and belief. The complainant
shall swear to the facts by oath before a notary public or other person
authorized by law to administer oaths under penalty of perjury. A complaint that
is not sworn as required shall not be forwarded by the City Clerk to the Ethics
Compliance Officer as provided in Section 2-83(f), but shall be returned to the
complainant.
The
complaint must state on its face an allegation that, if true,
constitutes a violation of a law administered and enforced by the Board.
(c) Review by the Ethics Compliance Office and Notification to the Ethics Review Board and Respondents. A copy of a complaint shall be promptly forwarded by the City Clerk to the Ethics Compliance Officer. The Ethics Compliance Officer shall review the complaint for compliance with the filing requirements of Section 2-83(b) within 5 business days of receipt from the Office of the City Clerk. If the complaint substantially complies with the filing requirements, the complaint shall be forwarded to the members of the Ethics Review Board and the respondents within 10 business days after receipt of the complaint from the Office of the City Clerk. If the complaint does not substantially comply with the filing requirements, the Ethics Compliance Officer shall return the complaint to the complainant with a letter explaining the defects in the complaint.
(d) The respondent(s) shall also be provided with a copy of the ethics rules
and shall be informed:
(1)
that, within fourteen (14) days of
receipt of the complaint, he or she may file a sworn response with the City
Clerk;
(2)
that failure to file a response does not preclude
the Ethics Review Board from adjudicating the complaint;
(3)
that a copy of any response filed by
the respondent(s) will be provided by the City Clerk to the complainant, who
may, within seven (7) days of receipt, respond by sworn writing filed with the
City Clerk, a copy of which shall be provided by the City Clerk to the
respondent(s);
(4)
that the complainant(s) or
respondent(s) may request a hearing; and;
(5)
that city officials and employees have
a duty to cooperate with the Ethics Review Board, pursuant to Section 2-85(e) of
Division 8 (Ethics Panels).
Upon receipt, the City Clerk shall forward the
response to the ethics compliance officer and the compliance officer shall
forward to the Ethics Review Board.
(e)
Frivolous Complaint.
(1)
For purposes of this section, a
"frivolous complaint" is a sworn complaint that is groundless and
brought in bad faith or groundless and brought for the purpose of harassment.
(2)
By a vote of at least two-thirds of
those present, the Board may order a complainant to show cause why the Board
should not determine that the complaint filed by the complainant against
a respondent is a frivolous
complaint.
(3)
In deciding if a complaint is
frivolous, the Board will be guided by the Texas Rules of Civil Procedure, Rule
13, and interpretations of that rule, and may also consider:
(A)
the
timing of the sworn complaint with respect to when the facts supporting the
alleged violation became known or should have become known to the complainant,
and with respect to the date of any pending election in which the respondent is
a candidate or is involved with a candidacy, if any;
(B)
the
nature and type of any publicity surrounding the filing of the sworn complaint,
and the degree of participation by the complainant in publicizing the fact that
a sworn complaint was filed with the Board;
(C)
the
existence and nature of any relationship between the respondent and the
complainant before the complaint was filed;
(D)
if
respondent is a candidate for election to office, the existence and nature of
any relationship between the complainant and any candidate or group opposing the
respondent;
(E)
any
evidence that the complainant knew or reasonably should have known that the
allegations in the complaint were groundless; and
(F)
any
evidence of the complainant's motives in filing the complaint.
(4)
Notice of an order to show cause shall
be given to the complainant, with a copy
to the respondent, and shall include:
(A)
an
explanation of why the complaint
against
a respondent
appears to be frivolous; and
(B)
the
date, time, and place of the hearing to be held under this section.
(5)
Before making a determination that a
sworn complaint against a respondent
is a frivolous complaint, the Board shall hold a hearing at
which the complainant may be heard; the complainant may be accompanied by
counsel retained by the complainant.
(6)
By a record vote of at least two-thirds
of those present after the hearing under subsection (5) of this section, the
Board may determine that a complainant filed a frivolous complaint and may
recommend sanctions against that complainant.
(f)
Sanctions for
Filing
Frivolous
Complaints.
(1)
Before imposing a sanction for filing a
frivolous complaint, the Board shall consider the following factors:
(A)
the
seriousness of the violation, including the nature, circumstances, consequences,
extent, and gravity of the violation;
(B)
the
sanction necessary to deter future violations; and
(C)
any
other matters that justice may require.
(2)
The Board may impose the
following sanctions:
(A)
a
civil penalty of not more than $500.
(B)
imposition
of attorneys’ fees incurred by the respondent of the frivolous complaint;
(C)
any
other sanction permitted by law.
(3)
The Board may notify the appropriate
regulatory or supervisory agency for their appropriate action. This may include a referral to a criminal investigation
agency or prosecution entity for investigation of perjury.
(g) Confidentiality. Ex parte communications by members of the Ethics Review Board are prohibited by Section 2-85(d) of Division 8 (Ex Parte Communications).
(1)
The Board and its staff shall not
communicate any information about a pending
sworn complaint, including whether or not a
complaint has been filed, to any person other than the respondent, the
complainant, and a witness or potential witness identified by the respondent,
the complainant, or another witness or potential witness.
(2)
Information otherwise confidential
under this section may be disclosed by entering it into the record of a formal
hearing or Ethics Review Board proceeding.
(3)
Requests for records
pertaining to
complaints shall be responded to in compliance with the Texas Public Information
Act and the Texas Open Meetings Act.
Section 2-84
Ethics Compliance Officer
(a)
City Attorney’s Office.
The City Attorney or an Assistant City Attorney designated by the City Attorney
shall serve as the Ethics Compliance Officer for the city. The Ethics Compliance
Officer shall:
(1)
receive and promptly transmit to the
Ethics Review Board complaints and responses filed with the City Clerk as set
forth in Section 2-83;
(2)
investigate, marshal, and present to
the Ethics Review Board the evidence bearing upon a complaint;
(3)
act as legal counsel to the Ethics
Review Board;
(4)
issue advisory opinions to city
officials and employees about the requirements imposed by the ethics laws; and
(5)
be responsible for the training and
education of city officials and employees with respect to their ethical
responsibilities;
(6)
review complaints for legal
sufficiency;
(7)
recommend acceptance or rejection of
complaint made to the Ethics Review Board; and
(8)
request additional information from
complainant as needed.
{Ethics training information moved to Section 2-93 regarding training}
(b)
Outside Independent Counsel.
An independent outside attorney, who does not otherwise represent the city,
shall be appointed at the recommendation of the City Attorney, to serve as the
Ethics Compliance Officer for a particular case:
(1)
when a complaint is filed relating to an alleged
violation of the ethics laws by:
(A)
the Mayor or a member of the City Council, or
(B)
a city employee who is a department head or of higher rank;
(2)
when the Ethics Review Board requests such an
appointment; or
(3)
when requested by the City Attorney.
An
independent outside attorney who is appointed has the same duties and authority
as the Ethics Compliance Officer under Section 2-84(a)(1), (a)(2), (a)(3),
(a)(6), (a)(7), and (a)(8) of Division 8 (Ethics Compliance Officer).
(c)
Exculpatory Evidence.
The Ethics Compliance Officer shall disclose to the Ethics Review Board and provide to
the person charged with violating the ethics or municipal campaign finance laws
evidence known to the Ethics Compliance Officer tending to negate guilt or
mitigate the seriousness of the offense.
Section
2-85
Ethics panels
(a)
Assignment to an Ethics Panel.
The
chairperson of the Ethics Review Board may appoint a panel to conduct a
preliminary review of an ethics complaint or request for advisory opinion. The
panel may present its recommendations for consideration by the board in its
entirety. The chair may also designate a panel with the power to render
decisions on complaints or issue advisory opinions on behalf of the Board.
Panels appointed to dispose of complaints or issue advisory opinions must act in
accordance with the Open Meetings Act.
(b)
Review by Ethics Review Board.
The Ethics Review Board will
meet to review the complaint, responses, replies to responses and any other
information it has requested be provided to assist in consideration of the
complaint. The board shall consider whether the facts of the case establish a
violation of any provision in the ethics laws, regardless of which provisions,
if any, were identified in the complaint as having been allegedly violated.
If the board finds that the complaint fails to allege a violation of the
Ethics Code when assuming all facts set forth in the complaint to be true, the
board may dismiss the complaint without further proceedings.
(c) Before the board may find that a violation of a particular rule, the respondent must be on notice that compliance with that rule is in issue and must have an opportunity to respond. Notice is conclusively established: if the complaint alleged that the rule was violated; or if the Board or the Ethics Compliance Officer provides the respondent with written notice of the alleged violation and a fourteen (14) day period within which to respond in writing to the charge.
(d)
Scheduling of a Hearing.
Regardless of whether the complainant or the respondent requests a
hearing, the Ethics Review Board has discretion to decide whether to hold a hearing.
(e)
Ex
Parte
Communications. It is a violation of this code:
(1)
for the complainant, the respondent, or
any person acting on their behalf to engage or attempt to engage, directly or
indirectly, in ex parte communication
about the subject matter of a complaint with member of the Ethics Review Board, or any known witness to the complaint;
or
(2)
for a member of the Ethics Review Board to:
(A)
knowingly
entertain an ex parte communication
prohibited by Subsection (1) of this rule; or
(B)
communicate
directly or indirectly with any person, other than a member of the Ethics Review
Board, its staff, or the Ethics Compliance Officer, about any issue of fact or
law relating to the complaint.
(f)
Duty to Cooperate.
All city officials and employees shall cooperate with the Ethics Review Board
and shall supply requested testimony or evidence to assist it in carrying out
its charge. Failure to abide by the obligations imposed by this Subsection is a
violation of this code of ethics.
(g)
Extension of Deadlines.
A complainant or
respondent who fails to meet a deadline to submit a filing with the Ethics
Review Board may file a Request to Accept Late Filing. The complainant or
respondent must include within the request a statement of good cause for the
board to grant the request. The
board may grant a request to accept a late filing for good cause.
(h)
Timeliness
of Notices or Submissions. When the ethics code or code of municipal campaign finance
regulations requires a notice or other document to be submitted or otherwise
given to a person or to the Ethics Review Board, the requirement is met in a
timely fashion if the document is sent to the person or the board by first-class
mail or certified mail addressed with postage or handling charges prepaid and it
bears a post office cancellation mark indicating a date within the time required
to provide notice or to submit a document, unless another method of submission
is expressly required.
At
any hearing held by the Ethics Review Board during the investigation or disposition of a
complaint, the following rules apply:
(a)
General Rules.
All witnesses
must be sworn and all questioning of witnesses shall be conducted by the members
of the Ethics Review Board
or the Ethics
Compliance Officer. The Review Board
may establish
time limits and other rules relating to the participation of any person in the
hearing. No person may be held to have violated the ethics laws or the
municipal campaign finance regulations unless a majority of the Review Board so
finds by a preponderance of the evidence
(b)
Evidence.
The Ethics Review Board shall rely on evidence of which a reasonably prudent
person commonly relies in the conduct of the person’s affairs.
The board shall further abide by the following:
(1)
The board shall hear evidence relevant
to the allegations; and
(2)
The board shall not consider hearsay
unless it finds the nature of the information is reliable and useful.
(c)
The Person
Charged
(Respondent).
The person charged in the complaint has the right to attend the hearing, the
right to make a statement, the right to present witnesses, and the right to be
accompanied by legal counsel or another advisor. Only legal counsel to
the person charged in the complaint may advise that person during the course of
the hearing, but may not speak on his or her behalf, except with the permission
of the board. The time
permitted for presentation will be at the discretion of the Board.
(d)
The Complainant.
The complainant has the right to attend the hearing, the right to make a
statement, and the right to be accompanied by legal counsel or
another advisor. Only legal counsel to the
complainant may advise the complainant during
the course of the hearing, but may not speak on behalf of the complainant,
except with the permission of the board. Witnesses
may not be presented by the complainant, except with the permission of the
board.
(a)
Written Opinion. The
board shall issue a decision within
ninety
(90) days after the filing of a complaint. This
deadline shall be extended by any amount of time granted to a respondent
pursuant a respondent's request for additional time to respond or to attend
proceedings. The board shall state in a
written opinion its findings of fact and conclusions of law. The written opinion
shall either:
(1)
dismiss the complaint; or
(2)
upon finding that there that there has
been a violation of the ethics laws or the municipal campaign finance laws:
(A)
impose
sanctions in accordance with these regulations; or
(B)
recommend
criminal prosecution and/or civil remedies, in accordance with this Rule; or
(C)
state
why no remedial action is imposed or recommended.
If
the board determines that a violation has occurred, the opinion shall
identify in writing the particular rule or rules violated. If the complaint is
dismissed, the grounds for the dismissal shall be set forth in the opinion.
The failure of the board to comply within the above time limits
may result in the charge being dismissed for want of prosecution.
Prior to such dismissal, the complainant will be given notice and an
opportunity to request continuance of the action.
(b)
Notification. Copies of
the opinion shall be forwarded to the complainant, the person charged in the
complaint, the Ethics Compliance Officer, and any member of the Ethics Review
Board who did not participate in the disposition of the case. A copy of the
opinion shall also be forwarded to the City Clerk, who shall make it available
as authorized by law.
(c)
Recommendations.
A recommendation for criminal prosecution shall be forwarded to the appropriate
law enforcement agency.
(note:
Civil remedies covered in subsection (f) below)
(d)
Similar Charges Barred.
If the complaint is dismissed because the evidence failed to establish a
violation of the ethics laws or the municipal campaign finance ordinance, the
Ethics Review Board shall not entertain any other similar complaint based on
substantially the same evidence.
(e)
Factors
Relevant to Sanctions.
(1)
General
Violations (Non-Reporting Violations). In
deciding whether to recommend or impose, in the case of a violation of the
ethics law, criminal prosecution and/or civil remedies, the Ethics Review Board shall
take into account relevant considerations, including, but not limited to,
the following:
(a)
the culpability of the person charged in the complaint;
(b)
the harm to public or private interests resulting from the violation;
(c)
the necessity of preserving public confidence in the conduct of local
government;
(d)
whether there is evidence of a pattern of disregard for ethical
obligations; and
(e)
whether remedial action has been taken that will mitigate the adverse
effect of the violation.
To impose or
recommend sanctions for a first
violation of the ethics code or municipal campaign finance code, other than a
letter of notification, a letter of admonition or a referral to training, the
board must find by a preponderance of the evidence that the person acted
knowingly, unless otherwise provided by
this code.
(2)
Reporting
Requirement Violations.
To impose sanctions, other than a letter of notification, a letter of
admonition or a referral to training, for untimely or incomplete submission of
reports required by the ethics code or the municipal campaign finance
regulations, the board must determine by a preponderance of the evidence that
the person knowingly:
(a) failed
to file the
report on time; or
(b) failed to include in the report information that is required to be included; or
(c) submitted inaccurate or false information.
Failure
to submit a
required report or an amended report after receipt of notice of non-compliance
by the Office of the City Clerk, the City Attorney’s Office or the Ethics Review
Board may be considered evidence of a knowing failure to comply with reporting
requirements.
(f)
Civil Sanctions for Ethics Code Violations. The
following civil remedies may be recommended or imposed
by
the Ethics Review Board which finds that the ethics laws have been violated:
(1)
Disciplinary
Action. Civil service
employees who violate this code of ethics may be disciplined in accordance with
city personnel rules and procedures. Other city officials and employees who
engage in conduct that violates this code may be notified, warned, reprimanded,
suspended, or removed from office or employment by the appointing authority, or
by a person or body authorized by law to impose such remedies. Disciplinary
action under this Section may be imposed in addition to any other penalty or
remedy contained in this code of ethics or any other law.
The Ethics Review Board may refer a violation to the City Manager or his
or her designate for disciplinary action in accordance with any applicable
municipal civil service rules;
(2)
Suit for
Damages or Injunctive Relief. This code of ethics
has been enacted not only to further the policy stated in section
2-41 (Statement of Purpose), but to
protect the City and any other person from any losses or increased costs
incurred by the City or other person as a result of the violation of these
provisions. It is the intent
of the City that this ethics code can and should be recognized by a court as a
proper basis for a civil cause of action for damages or injunctive relief based
upon a violation of its provisions, and that such forms of redress should be
available in addition to any other penalty or remedy contained in this code of
ethics, municipal campaign finance regulations or any other law.
The Ethics Review Board may refer a violation of the ethics code or the
municipal campaign finance regulations to the City Attorney’s Office for
consideration of a suit by the city for damages or injunctive relief.
(3)
Disqualification
from Contracting or Lobbying.
(a)
If the Ethics Review Board finds that any person (including
business entities and non-profit entities) has intentionally or knowingly
violated any provision of the Ethics Code, or
has intentionally or knowingly assisted another person in violating any
provision of the Ethics Code, or has violated a provision or assisted another in
a violation that the person should have known was a violation of the Ethics
Code,
the Ethics Review Board may recommend
to the City Council that the person be prohibited
from entering into any contract with the city or prohibited from lobbying on behalf of clients before the city for
a period not to exceed three (3) years.
An entity or nonprofit entity may also
be disqualified from contracting based on the conduct of an employee or agent in
violation of this code.
(b)
It is a violation of this code of ethics:
(1)
for a person
debarred from entering into a contract with the city to enter, or attempt to
enter, into a contract with the city during the period of disqualification from
contracting; or
(2)
for a city
official or employee to knowingly assist a violation of Subsection (b)(1) of
this rule.
(c)
Nothing in this section shall be construed to prohibit any person
from receiving a service or benefit, or from using a facility, which is
generally available to the public, according to the same terms.
(4)
Recommendation to Void or Ratify Contract.
If the Ethics Review Board finds that there has been an
intentional or knowing violation of any provision of
the Ethics Code, or that a person
has committed a violation that he or she should have known was a violation of
the code that is related to the awarding of a contract, the Ethics Review Board must vote on whether to recommend to the City
Council that the contract be ratified or voided. Such action shall not affect
the imposition of any penalty or remedy contained in this code of ethics or any
other law.
(5)
Civil Fine. The Ethics Review
Board may impose upon any person, whether or not an official or employee of the
city, who violates any provision of this code of ethics a fine not
exceeding five hundred dollars ($500). Each day after any filing deadline
imposed by division 5 (Lobbyists) and division 7 (Financial Disclosure) or the
municipal campaign finance code for which any required statement has not been
filed, or for which a statement on file is incorrect, misleading, or incomplete,
constitutes a separate offense.
(6)
Letter of
Notification.
The Ethics Review Board may issue to any person, whether or not an
official or employee of the city, when the board finds that a violation of the
code of ethics was clearly unintentional or inadvertent.
The letter must advise the person to whom it is directed of any steps to
be taken to avoid future violations;
(7)
Letter of
Admonition. The
Ethics Review Board may issue to any person, whether or not an official or
employee of the city, a letter of admonition when the board finds that the
violation of the code of ethics was minor and/or may have been unintentional or
inadvertent.
(8)
Letter of
Reprimand. The Ethics Review
Board may issue to any person, whether or not an official or employee of the
city, a letter of reprimand when the board finds that the person has
intentionally or knowingly violated the code of ethics.
(9)
Referral to
Ethics Training. Upon finding of violation of the ethics code, the
Ethics Review Board may require a city official or employee to attend ethics
code training.
(g)
Criminal Prosecution.
The Ethics Review Board may recommend to the appropriate law enforcement agency criminal
prosecution under this section or under
Section 171 of the Texas Local Government Law. Prosecution of any person
by the City Attorney for a violation of this ethics code shall not be
undertaken until a complaint is disposed of in accordance with Section 2-87.
However, the absence of a recommendation to prosecute from the Ethics Review
Board to
the City Attorney shall not preclude the City Attorney from exercising his or
her prosecutorial discretion to prosecute a violation of this ethics code. Any
person who files a false sworn statement under division 5 (Lobbyists), division
7 (Financial Disclosure), or division 8 (Ethics Review Board) or the municipal
campaign finance code is subject to criminal prosecution for perjury under the
laws of the State of Texas.
(h)
Reconsideration.
Within 5 business days of receiving the final opinion of the Ethics
Review Board, the complainant or respondent may request the Ethics Review Board
to reconsider its decision. The
request must be filed with the Office of the City Clerk.
Within fifteen (15) days after filing with the City Clerk, the originally
assigned preliminary reviewing panel shall review the the request for reconsideration.
If the panel concludes reconsideration is warranted, it shall bring the
request within another fifteen (15) days to the full board for decision on
whether to grant reconsideration. If
the full board grants reconsideration, the board may then order further
proceedings in accordance with the provisions of this code.
(i)
Council
Action. City
Council shall dispose of a recommendation from the Ethics Review Board within
ninety (90) days of receiving such recommendation. The recommendation(s) of the Ethics Review Board may be
accepted, rejected, modified, or recommitted to said Board for further action or
clarification. Failure to take
action within specified time limits may result in the charge being dismissed for
want of prosecution. Prior to such
dismissal, the complainant will be given notice and an opportunity to request
continuance of the action.
(j) Appeals. A decision of the Ethics Review Board is final unless the person aggrieved by the decision appeals to the state district court in Bexar County no later than thirty days after the date the Board renders the decision.
If the decision of the Ethics Review Board is not supported by substantial
evidence, the District Court may reverse or affirm the Board’s decision in whole
or in part, or may modify the Board’s decision if substantial rights of the
aggrieved person have been prejudiced. Costs of an appeal may not be assessed against the Board, individual
board members, or the City of San Antonio.
Section 2-88
Petition for Declaratory Ruling
Any
city official or employee against whom public allegations of ethics or campaign
finance violations have been made in the media or elsewhere shall have the right
to file a sworn statement with the City Clerk affirming his or her innocence,
and to request the Ethics Review Board to investigate and make known its
findings, and make any relevant recommendations concerning the issue.
(a)
Advisory Opinions Issued by the Ethics
Review Board
(1)
Ethics
Code Inquiries by Persons Other Than City Officials and Employees.
(A)
By
writing filed with the City Clerk, any person other than a city official or
employee may request an advisory opinion with respect to the interpretation of
the ethics laws, but only with respect to whether proposed action by that person
would violate the ethics laws. The City Clerk shall promptly transmit all
requests for advisory opinions to the Ethics Compliance Officer and the chair of
the Ethics Review Board. (City officials and employees may request advisory
opinions from the City Attorney pursuant to Subsection (b)).
(B)
Within
thirty (30) days of receipt by the chair of the Ethics Review Board of a request
for an advisory opinion, the Board, acting en banc or through a designated Ethics Panel, shall issue a written
advisory opinion. During the preparation of the opinion, the Board may consult
with the Ethics Compliance Officer of the city and other appropriate persons. An
advisory opinion shall not reveal the name of the person who made the request,
if that person requested anonymity, in which case the opinion shall be written
in the form of a response to an anonymous, hypothetical fact situation. A copy
of the opinion shall be indexed and kept by the Ethics Review Board as part of
its records for a period of not less than five (5) years. In addition, copies of
the opinion shall be forwarded by the chair of the Ethics Review Board, or the
Ethics Compliance Officer, to the person who requested the opinion, to the
members of the Ethics Review Board, and to the City Clerk. The City Clerk shall make the opinion
available as a public record in accordance with the Local Government Records
Act. The Ethics Compliance Officer
shall promptly post the opinion for a period of no less than five years on the
Internet via the City of San Antonio homepage.
(2)
Opinions
Initiated by the Board. On its own initiative, the Ethics
Review Board, acting as the full board or through a
designated Ethics Panel, may issue a written advisory opinion with respect to
the interpretation of the ethics laws or the municipal campaign finance
regulations
as
they apply to persons other than city officials and employees if a majority of
the Board determines that an opinion would be in the public interest or in the
interest of such person or persons subject to the provisions of the ethics laws.
Such an opinion may not include the name of any individual who may be affected
by the opinion. A copy of any such opinion shall be indexed and kept by the
Ethics Review Board as part of its records for a period of not less than five
(5) years. In addition, copies of the opinion shall be forwarded by the chair of
the Ethics Review Board, or his or her designate, to the Ethics Compliance
Officer and to the City Clerk. The City Clerk shall make the opinion available
as a public record in accordance with the Local Government Records Act. The
Ethics Compliance Officer shall promptly post the opinion for a period of no
less than five years on the Internet via the City of San Antonio homepage.
(3)
Reliance.
If a person reasonably and in good faith acts in reliance on an advisory opinion
issued by the Ethics Review Board, that fact may be considered by the Ethics
Review Board in adjudicating a complaint filed against that person, but does not by
itself bar the finding of a violation.
(b)
Ethics Advisory Opinions Issued by the
Ethics Compliance Officer.
(1)
Ethics
Inquiries by City Officials and Employees.
(A)
By writing filed with the Office of the City Attorney, any city official
or employee may request an advisory opinion with respect to whether proposed
action by that person would violate the ethics laws.
(B) Within thirty (30) days of receipt of the request by the Office of the City Attorney, the Ethics Compliance Officer shall issue a written advisory opinion. The advisory opinion shall not reveal the name of the person who made the request, if that person requested anonymity, in which case the opinion shall be written in the form of a response to an anonymous, hypothetical fact situation.
Opinions that address new issues and
that are instructive on the application of the ethics regulations shall be
posted on the ethics webpage in a manner that does not reveal the identity of
the individual requesting the opinion.
(2)
Reliance.
(A)
A person who reasonably and in good faith acts in accordance with an
advisory opinion issued by the Ethics Compliance Officer may not be found to
have violated the ethics laws by engaging in conduct approved in the advisory
opinion, provided that:
(i)
he or she requested the issuance of the
opinion;
(ii)
the request for an opinion fairly and
accurately disclosed all relevant facts; and
(iii)
less than five years elapsed between
the date the opinion was issued and the date of the conduct in question.
The Ethics Review Board shall prepare
and submit an annual report to the Mayor and City Council detailing the
activities of the Board during the prior year. The format for the report shall
be designed to maximize public and private understanding of the Board’s
operations, and shall include a summary of the content of ethics opinions issued
by the Board and a listing of current city lobbyists based on information
gathered by the Board from records on file with the City Clerk. The report may
recommend changes to the text or administration of this code of ethics. The
Ethics Compliance Officer shall post the report on the city's ethics webpage.
Meetings and other proceedings
of the Ethics Review Board will be conducted in compliance with the Texas Open
Meetings Act.
This
code of ethics
and
the municipal campaign finance code are cumulative
of and supplemental to applicable state and federal laws and regulations. Compliance with the
provisions of this code shall not excuse or relieve any person from any
obligation imposed by state or federal law regarding ethics, financial
reporting, lobbying activities, or any other issue addressed herein.
Even
if a city official or employee is not prohibited from taking official action by
this code of ethics, action may be prohibited by duly promulgated personnel
rules, which may be more stringent.
{Effective dates reflected in enabling ordinances}
Section
2-93
Distribution and Training
(a)
Within thirty
(30) days after entering upon the duties of his or her position, every new
official or employee shall be furnished with information about this code of
ethics. The failure of any person to receive a copy of this code shall have no
effect on that person’s duty to comply with this code or on the enforcement of
its provisions. Upon appointment to
a board or commission, such official shall be provided with a copy of the Ethics
Code.
(b)
The
City Attorney or designated Ethics Compliance Officer, in consultation with the
Ethics Review Board, shall develop educational materials and conduct educational
programs for the officials and employees of the city on the provisions of this
code of ethics, Section 141 of the City Charter, and Section 171 of the Texas
Local Government Law. Such materials and programs shall be designed to maximize
understanding of the obligations imposed by these ethics laws.
(c) The Office of the City Manager and Department of Human Resources shall enact an administrative directive requiring that all departments provide their employees with training on the Ethics Code at least once every other calendar year. Training shall be provided to all city departments by video or live presentation and will include educational materials. Additional presentations shall be offered to any department where necessary to accommodate large numbers of employees.
(d) The Office of the City Attorney shall notify department directors regarding any significant amendments to the Ethics Code within 30 days of adoption. Department directors shall disseminate the information to department employees.
(e) Information shall be provided to employees terminating city service regarding the restrictions on former city employees in Division 3 of this code.
If
any provision of this code is found by a court of competent jurisdiction to be
invalid or unconstitutional, or if the application
of this code to any person or circumstances is found to be invalid or
unconstitutional, such invalidity or unconstitutionality shall not affect the
other provisions or applications of this code which can be given effect without
the invalid or unconstitutional provision or application.